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1、epo.orgISBN 978-3-89605-364-0Guidelines for Searchand Examination at theEuropean Patent Officeas PCT AuthorityMarch 2024Published by the European Patent Office(EPO)Directorate 5.3.1 Patent Law and Processes 80298 Munich Germany international_pct_affairsepo.org EPO 2024 ISBN 978-3-89605-364-0 Guideli

2、nes for Search and Examination at the European Patent Office as PCT Authority March 2024 March 2024 List of Contents a List of Contents General PartContents a1.Preliminary remarks 12.Explanatory notes 13.Annexes 10Part A Guidelines for Formalities ExaminationContents aChapter I Introduction I-1Chapt

3、er II Filing of international applications and examination on filing II-1Chapter III Fees III-1Chapter IV Special provisions IV-1Chapter V Drawings V-1Chapter VI Examination of formal requirements VI-1Chapter VII Languages VII-1Chapter VIII Common provisions Part B Guidelines for SearchContents aCha

4、pter I Introduction I-1Chapter II General II-1Chapter III Characteristics of the search III-1VIII-1PCT-EPO GuidelinesList of Contents b March 2024 Chapter IV Search procedure and strategy IV-1Chapter V Preclassification and IPC classification of international patent applications V-1Chapter VI The st

5、ate of the art at the search stage VI-1Chapter VII Unity of invention VII-1Chapter VIII Subject-matter to be excluded from the search VIII-1Chapter IX Search documentation IX-1Chapter X Search report X-1Chapter XI The written opinion XI-1Chapter XII Supplementary international search(SIS)XII-1PCT Pa

6、rt B Guidelines for SearchContents aChapter I Introduction I-1Chapter II General II-1Chapter III Characteristics of the search III-1Chapter IV Search procedure and strategy IV-1Chapter V Preclassification and IPC classification of international patent applications V-1Chapter VI The state of the art

7、at the search stage VI-1Chapter VII Unity of invention VII-1Chapter VIII Subject-matter to be excluded from the search VIII-1Chapter IX Search documentation IX-1Chapter X Search report X-1Chapter XI The written opinion XI-1Chapter XII Supplementary international search(SIS)XII-1PCT-EPO GuidelinesMar

8、ch 2024 List of Contents c Part C Guidelines for Procedural Aspects in Chapter IIContents aChapter I Introduction I-1Chapter II Formal requirements to be met before the start of the international preliminary examination II-1Chapter III Documents forming the basis of the international preliminary exa

9、mination III-1Chapter IV Examination of the WO-ISA and replies IV-1Chapter V Unity of invention V-1Chapter VI Time limits VI-1Chapter VII Other procedures in examination VII-1Chapter VIII The IPER VIII-1Chapter IX Special requests IX-1Part E Guidelines on General Procedural MattersContents aChapter

10、I Introduction I-1Chapter II Observations by third parties II-1Chapter III Patent Prosecution Highway(PPH)III-1Part F The International ApplicationContents aChapter I Introduction I-1PCT-EPO GuidelinesList of Contents d PCT-EPO Guidelines March 2024 Chapter II Content of an international application

11、(other than claims)II-1Annex 1 Checklist for considering the abstract(see GL/PCT-EPO F-II,2.5)II-6Annex 2 Units recognised in international practice(see GL/PCT-EPO F-II,4.12)II-7Chapter III Sufficiency of disclosure III-1Chapter IV Claims(Art.6 and formal requirements)IV-1Annex Examples concerning e

12、ssential features IV-11Chapter V Unity of invention V-1Chapter VI Priority VI-1Part G Substantive requirements of the applicationContents aChapter I Patentability I-1Chapter II Inventions II-1Chapter III Industrial application III-1Chapter IV Prior art IV-1Chapter V Non-prejudicial disclosures V-1Ch

13、apter VI Novelty VI-1Chapter VII Inventive step VII-1Part H Amendments and CorrectionsContents aChapter I The right to amend I-1Chapter II Allowability of amendments II-1March 2024 PCT-EPO GuidelinesList of Contents e Chapter III Allowability of amendments examples III-1Chapter IV Correction of defe

14、cts and errors IV-1List of sections amended in 2024 revision 1 General Part March 2024 PCT-EPO Guidelines General Part Contents a Contents 1.Preliminary remarks 1 2.Explanatory notes 1 2.1 Overview 1 2.2 Applicability of the PCT-EPO Guidelines 3 2.3 Relationship between the PCT-EPO Guidelines and th

15、e ISPE Guidelines 3 2.4 Further sources of information 3 2.5 Abbreviations 4 2.6 Forms used by the RO,ISA,SISA and IPEA 5 2.7 Publications 9 3.Annexes 10 3.1 Annex I:EPC-PCT concordance table 10 3.2 Annex II:Criteria chosen by the EPO as ISA/IPEA on specific points in the ISPE Guidelines 13 March 20

16、24 PCT-EPO Guidelines General Part 1 1.Preliminary remarks The present Guidelines are dedicated to the specific procedures before the EPO in its capacity as PCT Authority.Their full name is Guidelines for Search and Examination at the European Patent Office as PCT Authority,or PCT-EPO Guidelines for

17、 short,and throughout these Guidelines they are also referred to as GL/PCT-EPO.These Guidelines can be used and referred to by examiners and formalities officers,as well as patent attorneys,in addition to the Euro-PCT Guide(PCT procedure at the EPO,International phase and entry into the European pha

18、se,Guide for applicants),the PCT-RO(Receiving Office)Guidelines and the PCT ISPE(International Search and Preliminary Examination)Guidelines.They are complementary to,but not a substitute for,the ISPE and RO Guidelines,as well as the PCT Applicants Guide(WIPO PCT Guide),all published by WIPO.They wi

19、ll exist in parallel with the Euro-PCT Guide which,as before,has the status of a Notice from the EPO.The PCT-EPO Guidelines are published as a standalone document in electronic format only,and will be revised on a yearly basis at the same time as the Guidelines for Examination in the European Patent

20、 Office(EP Guidelines).The electronic publication includes not only the online version in HTML format,but also a printable file.The aim is to gradually expand the PCT-EPO Guidelines with each revision cycle.The major change in this ninth edition is the further development of Part A,which now include

21、s new sections on the form and signature of documents.Any indication from readers drawing attention to errors as well as suggestions for improvement is highly appreciated and may be sent by email to Department 5.3.1.1,Patent Filing Process and PCT Affairs,at international_pct_affairsepo.org.2.Explan

22、atory notes 2.1 Overview The PCT-EPO Guidelines follow the structure of the EP Guidelines(Parts A,B,C,E,F,G and H,without D because there is no opposition,limitation or revocation under the PCT),and as far as possible the organisation within each part is similar to that of the EP Guidelines,adapted

23、to the particularities of the PCT system.The sequence of chapters within Part A,however,differs from that of the EP Guidelines.This is due to the particular way in which the content is being gradually extended and the structure may be reconsidered prior to completion of Part A.General Part 2 PCT-EPO

24、 Guidelines March 2024 Thus,these Guidelines comprise the following seven parts:Part A:Guidelines for Formalities Examination;Part B:Guidelines for Search;Part C:Guidelines for Procedural Aspects in Chapter II;Part E:Guidelines on General Procedural Matters;Part F:The International Application Part

25、G:Patentability Part H:Amendments and Corrections Part A deals with the procedures for formalities examination at the EPO in its capacity as RO,(S)ISA and IPEA.Part B deals with search matters.Part C relates to procedures to be followed in Chapter II.Part E deals with procedural matters relevant to

26、several or all of the stages in procedure at the EPO as PCT Authority.Part F deals with the requirements which the application must fulfil other than patentability,in particular unity of invention(Rule 13),sufficiency of disclosure(Art.5),clarity(Art.6)and the right to priority(Art.8).Part G deals w

27、ith excluded subject-matter(Art.17(2)(a)(i)and Rule 39;Art.34(4)(a)(i)and Rule 67),novelty(Art.33(2),inventive step(Art.33(3)and industrial application(Art.33(4).Part H deals with the requirements relating to amendments and corrections.It relates in particular to the right to amend,the allowability

28、of amendments and the correction of defects and errors.Each part of the Guidelines is divided into chapters,each subdivided into numbered sections which may be further divided into subsections.Cross-references to other sections and subsections are in the format GL/PCT-EPO,followed by the relevant le

29、tter of that part,then the chapter number(a Roman numeral)and then the section or subsection number(thus,e.g.GL/PCT-EPO C-V,4.2 would be used to refer to subsection 4.2 of chapter V of Part C of the PCT-EPO Guidelines).When referring to the Guidelines for Examination in the EPO,the same format is us

30、ed,but with GL/EPO instead of GL/PCT-EPO.Marginal references to articles and rules without further identification relate to the Articles or Rules of the Patent Cooperation Treaty which provide authority for what is stated.It is believed that such references avoid the need for extensive quotation fro

31、m the PCT itself.References to Articles or Rules of the European Patent Convention are followed by EPC.Marginal references to the RO and ISPE Guidelines relate to the corresponding sections in those Guidelines and are an indication that the present Guidelines apply within the framework of the RO and

32、 ISPE Guidelines,in conformity with the supplementary role of the EPC in the international phase.Art.150(2)EPC March 2024 PCT-EPO Guidelines General Part 3 Where the practice for EP and PCT applications is the same(e.g.for the assessment of novelty),cross-references are made to the EP Guidelines.Whe

33、re the practices are only partially overlapping,the information is contained in full in the PCT-EPO Guidelines,in order to avoid possible confusion.Chapter 3,Annex I,provides an EPC-PCT concordance table.Any references to persons made in the PCT-EPO Guidelines are to be understood as being gender-ne

34、utral.2.2 Applicability of the PCT-EPO Guidelines These Guidelines are intended to cover normal occurrences.They should therefore be considered only as general instructions.The application of these Guidelines to individual international patent applications is the responsibility of the formalities an

35、d examining staff and they may have to go beyond these instructions in exceptional cases.Nevertheless,as a general rule,parties can expect the EPO in its capacity as RO,(S)ISA or IPEA to act in accordance with these Guidelines until such time as they or the relevant legal provisions are amended.Noti

36、ces concerning such amendments are published in the Official Journal of the EPO and on the EPO website.It should also be noted that these Guidelines do not constitute legal provisions.2.3 Relationship between the PCT-EPO Guidelines and the ISPE Guidelines The PCT-EPO Guidelines are intended to be co

37、mplementary to,but not a substitute for,the PCT ISPE1 and RO Guidelines,as well as the PCT Applicants Guide(WIPO PCT Guide)and the Euro-PCT Guide2(PCT procedure at the EPO,International phase and entry into the European phase,Guide for applicants).The ISPE Guidelines published by WIPO set out in det

38、ail the procedures and criteria to be followed by all International Searching and Preliminary Examining Authorities.Since practice varies amongst different authorities these Guidelines provide some degrees of freedom as to which procedure/criteria can be used.Such different criteria are listed in th

39、e ISPE Guidelines in appendices to the respective chapters or defined within a specific paragraph.Generally,the EPO will use the same criteria when searching and examining an international application as would have been used in the European procedure.This means that where the ISPE Guidelines are eit

40、her silent or give no guidance on a particular topic,then the equivalent provisions of the EP Guidelines are applied mutatis mutandis to PCT search and preliminary examination.A list of policy options is provided in section 3.2 below,Annex II.2.4 Further sources of information Regularly updated gene

41、ral information on the EPO and specific information on the procedures before the EPO as receiving Office,International Authority(ISA,SISA and IPEA)and designated/elected Office under the 1 GL/ISPE and GL/RO:wipo.int/pct/en/texts/gdlines.html 2 epo.org/en/legal/guide-europct General Part 4 PCT-EPO Gu

42、idelines March 2024 PCT is provided in the Annexes to the WIPO PCT Guide3.Relevant information is also provided on the EPO website4 and in the EPOs Official Journal(OJ),which is published in electronic form only5.Up-to-date news about the PCT is available on the WIPO website and also from the PCT Ne

43、wsletter and the Official Notices(PCT Gazette),both published in electronic form by WIPO6.Applicants desiring further information about the PCT procedure in the international phase are advised to consult the Administrative Instructions under the PCT(AI)7,the PCT Receiving Office Guidelines(GL/RO)and

44、 the PCT International Search and Preliminary Examination Guidelines(ISPE Guidelines,GL/ISPE),all available on the WIPO website.2.5 Abbreviations In these Guidelines,the following abbreviations are used:AAD Arrangements for the automatic debiting procedure ADA Arrangements for deposit accounts ARIPO

45、 African Regional Intellectual Property Organization Art.Article EPC European Patent Convention EPO European Patent Office ESOP European search opinion GL/EPO Guidelines for Examination in the EPO GL/ISPE PCT International Search and Preliminary Examination Guidelines GL/PCT-EPO Guidelines for Searc

46、h and Examination at the EPO as PCT Authority GL/RO PCT Receiving Office Guidelines IB International Bureau IPE International preliminary examination 3 wipo.int/pct/en/appguide/index.jsp 4 epo.org 5 epo.org/en/legal/official-journal/6 PCT Newsletter:wipo.int/pct/en/newslett/Official Notices(PCT Gaze

47、tte):wipo.int/pct/en/official_notices/index.html 7 AI:wipo.int/pct/en/texts/index.html March 2024 PCT-EPO Guidelines General Part 5 IPEA International Preliminary Examining Authority IPER International preliminary examination report IPRP International preliminary report on patentability ISA Internat

48、ional Searching Authority ISR International search report OJ EPO Official Journal of the European Patent Office PCT Patent Cooperation Treaty PCT AG I PCT Applicants Guide Introduction to the International Phase PCT-CLAR Request for clarification before search PCT/AI Administrative Instructions unde

49、r the PCT PPH Patent Prosecution Highway RFees Rules relating to Fees RO Receiving Office SIS Supplementary international search SISA Supplementary International Searching Authority SISR Supplementary international search report WIPO World Intellectual Property Organization WO-ISA Written opinion of

50、 the International Searching Authority 2.6 Forms used by the RO,ISA,SISA and IPEA The following forms are used by the EPO as RO:PCT/RO/103 Invitation to correct the purported international application PCT/RO/104 Notification that the purported international application is not and will not be treated

51、 as an international application PCT/RO/105 Notification of the international application number and of the international filing date PCT/RO/106 Invitation to correct defects in the international application General Part 6 PCT-EPO Guidelines March 2024 PCT/RO/107 Invitation relating to certain parts

52、 of the international application that are,or appear to be,missing PCT/RO/108 Invitation to request rectification PCT/RO/110 Invitation to correct priority claim and/or notification of possibility to request restoration of the right of priority PCT/RO/111 Notification relating to priority claim PCT/

53、RO/114 Notification on decision of confirmation of incorporation by reference of element or part PCT/RO/117 Notification that international application considered to be withdrawn PCT/RO/119 Notification of refund of fees PCT/RO/126 Notification concerning later submitted parts of an international ap

54、plication PCT/RO/130 Invitation to request omission of information from international publication PCT/RO/132 Communication in cases for which no other form is applicable PCT/RO/133 Invitation to pay prescribed fees together with late payment fee PCT/RO/135 Notification of date of receipt of priority

55、 document or of priority application number PCT/RO/136 Notification of withdrawal PCT/RO/138 Communication regarding extension of time limit PCT/RO/141 Invitation to furnish original of document transmitted by telegraph,teleprinter,facsimile machine,etc.PCT/RO/151 Notification of transmittal of purp

56、orted international application to the International Bureau as receiving Office and invitation to pay fee PCT/RO/158 Notification of intended refusal of request to restore right of priority and/or invitation to furnish declaration or other evidence PCT/RO/159 Notification of decision on request to r

57、estore right of priority March 2024 PCT-EPO Guidelines General Part 7 The following forms are used by the EPO as ISA:PCT/ISA/202 Notification of receipt of search copy PCT/ISA/203 Declaration of non-establishment of international search report PCT/ISA/205 Notification of modification of abstract app

58、roved by International Searching Authority PCT/ISA/206 Invitation to pay additional fees and,where applicable,protest fee PCT/ISA/207 Informal clarification:note/invitation PCT/ISA/210 International search report PCT/ISA/212 Notification of decision on protest or declaration that protest considered

59、not to have been made PCT/ISA/213 Notification of refund of search fee PCT/ISA/216 Invitation to request rectification PCT/ISA/217 Notification of decision concerning request for rectification PCT/ISA/220 Notification of transmittal of the international search report and the written opinion of the I

60、nternational Searching Authority,or the declaration PCT/ISA/224 Communication in cases for which no other form is applicable PCT/ISA/225 Invitation to furnish nucleotide and/or amino acid sequence listing and to pay,where applicable,late furnishing fee PCT/ISA/237 Written opinion of the Internationa

61、l Searching Authority The following forms are used by the EPO as SISA:PCT/SISA/501 Supplementary international search report PCT/SISA/502 Declaration of non-establishment of supplementary international search report PCT/SISA/503 Notification of decision on review of opinion;or declaration that reque

62、st for review of opinion considered not to have been made General Part 8 PCT-EPO Guidelines March 2024 PCT/SISA/504 Invitation to furnish nucleotide and/or amino acid sequence listing and to pay,where applicable,late furnishing fee PCT/SISA/506 Notification of receipt of copy of international applic

63、ation for the purposes of supplementary international search PCT/SISA/524 Communication in cases for which no other form is applicable The following forms are used by the EPO as IPEA:PCT/IPEA/402 Notification of receipt of demand by competent International Preliminary Examining Authority PCT/IPEA/40

64、3 Notification concerning payment of the preliminary examination and handling fees PCT/IPEA/404 Invitation to correct defects in the demand PCT/IPEA/405 Invitation to restrict or pay additional fees,and,where applicable,protest fee PCT/IPEA/407 Notification that demand considered not to have been su

65、bmitted PCT/IPEA/408 Written opinion of the International Preliminary Examining Authority PCT/IPEA/409 International preliminary report on patentability(Chapter II of the Patent Cooperation Treaty)PCT/IPEA/411 Invitation to request rectification PCT/IPEA/412 Notification of decision concerning reque

66、st for rectification PCT/IPEA/415 Notification concerning documents transmitted PCT/IPEA/420 Notification of decision on protest or declaration that protest considered not to have been made PCT/IPEA/423 Invitation to correct defects in correspondence submitted by the applicant PCT/IPEA/424 Communica

67、tion in cases for which no other form is applicable PCT/IPEA/425 Notification of cancellation of certain elections PCT/IPEA/427 Communication regarding extension of time limit PCT/IPEA/428 Note on informal communication with the applicant March 2024 PCT-EPO Guidelines General Part 9 PCT/IPEA/429 Not

68、ification concerning informal communication with the applicant PCT/IPEA/431 Invitation to submit amendments PCT/IPEA/432 Communication regarding amendments not taken into account PCT/IPEA/436 Notification of transmittal of demand to the International Bureau or to the competent International Prelimin

69、ary Examining Authority PCT/IPEA/440 Invitation to pay prescribed fees together with late payment fee PCT/IPEA/441 Invitation to furnish nucleotide and/or amino acid sequence listing and to pay,where applicable,late furnishing fee PCT/IPEA/442 Invitation to indicate competent International Prelimina

70、ry Examining Authority PCT/IPEA/443 Invitation to furnish translation for the purposes of international preliminary examination PCT/IPEA/444 Notification by non-competent International Preliminary Examining Authority that demand considered not to have been submitted The forms can be found via the fo

71、llowing link:wipo.int/pct/en/forms/2.7 Publications Since 1 January 2009,the following kind codes have been used for publication of a PCT application:Code Publication details A1 International application published with ISR A2 International application published without ISR or international applicati

72、on published with declaration under Article 17(2)(a)A3 Later publication of ISR with revised front page A4 Later publication of amended claims and/or statement(Article 19)with revised front page A8 International application republished with corrections to front page bibliographic data A9 Internation

73、al application or ISR republished with corrections,alterations or supplements(see also WIPO Standard ST.50)General Part 10 PCT-EPO Guidelines March 2024 3.Annexes 3.1 Annex I:EPC-PCT concordance table Articles EPC PCT Comments Art.52(2)EPC Rule 39.1 PCT,Rule 67.1 PCT Art.52(3)EPC Rule 39.1 PCT,Rule

74、67.1 PCT Art.53(a)EPC Rule 9.1(i)PCT,Rule 9.1(ii)PCT Art.53(b)EPC Rule 39.1(ii)PCT,Rule 67.1(ii)PCT Art.53(c)EPC Rule 39.1 PCT,Rule 67.1 PCT Art.54(1)EPC Art.33(2)PCT Art.54(2)EPC Rule 64.2 PCT(prior use),Rule 33.1(a),(b)and(c)PCT prior use,except that there is no provision for purely oral disclosur

75、e Art.54(3)EPC Rule 64.3 PCT,Rule 70.10 PCT intermediate/conflicting documents Art.55 EPC Art.27(5)PCT,Art.27(6)PCT,Rule 4.17(v)PCT,Rule 51bis.1(a)(v)PCT Art.56 EPC Art.33(3)PCT Art.57 EPC Art.33(4)PCT Art.67(1)EPC Art.29(1)PCT Art.67(2)EPC Art.29(1)PCT Art.67(3)EPC Art.29(2)PCT Art.69 EPC Art.29(1)

76、PCT,Art.29(2)PCT Art.76 EPC No equivalent Art.82 EPC Rule 13.1 PCT March 2024 PCT-EPO Guidelines General Part 11 Articles EPC PCT Comments Art.83 EPC Art.5 PCT Art.84 EPC Art.6 PCT Art.87 EPC Art.8 PCT Art.88 EPC Art.8 PCT Art.89 EPC Rule 64.1(b)PCT Art.122(1)EPC Rule 26bis.3 PCT,Rule 49ter.2 PCT Ar

77、t.123(2)EPC Art.19(2)PCT,Art.34(2)(b)PCT Art.128(1)EPC Art.30 PCT unpublished applications not available for inspection Art.128(4)EPC Rule 94 PCT designated and elected Offices may allow access to files of international applications(EPO as elected Office allows access to preliminary examination file

78、s after completion of the IPER,OJ EPO 2003,382)No equivalent Art.28(1)PCT,Art.41(1)PCT Rules EPC PCT Comments Rule 30 EPC Rule 13bis PCT Rule 31 EPC Rule 13bis PCT Rule 32 EPC Rule 13bis PCT Rule 33 EPC Rule 13bis PCT Rule 34 EPC Rule 13bis PCT Rule 42(1)EPC Rule 5.1(a)PCT General Part 12 PCT-EPO Gu

79、idelines March 2024 Articles EPC PCT Comments Rule 42(2)EPC Rule 5.1(b)PCT Rule 43(1)EPC Rule 6.3(a)PCT Rule 43(1)(a)EPC Rule 6.3(b)(i)PCT Rule 43(1)(b)EPC Rule 6.3(b)(ii)PCT Rule 43(4)EPC Rule 6.4(a)(part),(b)and(c)PCT Rule 43(5)EPC Rule 6.1(a)PCT,Rule 6.1(b)PCT Rule 43(6)EPC Rule 6.2(a)PCT Rule 43

80、(7)EPC Rule 6.2(b)PCT Rule 44(1)EPC Rule 13.2 PCT Rule 44(2)EPC Rule 13.3 PCT Rule 48 EPC Rule 9.1(i)-(iv)PCT Rule 49(2)EPC Rule 10.1(a),(b),(d)and(e)PCT Rule 10.2 PCT Rule 11.6(c)PCT,Rule 11.10 PCT Rule 11.11 PCT,Rule 11.13 PCT Rule 11.13(l)and(m)PCT See decision of the President of the EPO of 25.1

81、1.2022 on the presentation of application and other documents(OJ EPO 2022,A113).Rule 56a EPC Rule 20.5bis PCT Rule 134(5)EPC Rule 82quater PCT Rule 136 EPC Rule 26bis.3 PCT,Rule 49ter.2 PCT Rule 137(2)EPC Art.19(1)PCT,Art.34(2)(b)PCT,Rule 66.4 PCT Rule 137(3)EPC Art.34(2)(b)PCT,Rule 66.3(a)PCT,Rule

82、66.4 PCT,Rule 66.4bis PCT March 2024 PCT-EPO Guidelines General Part 13 Articles EPC PCT Comments No equivalent Art.7(2)(ii)PCT,Rule 7 PCT No equivalent Rule 65.1 PCT derives from practice 3.2 Annex II:Criteria chosen by the EPO as ISA/IPEA on specific points in the ISPE Guidelines In a number of ca

83、ses the ISPE Guidelines leave ISAs/IPEAs the choice between alternative guidelines upon which each ISA/IPEA may rely as appropriate.The options are set out in the appendices to the chapters of the ISPE Guidelines mentioned below.The paragraph number(e.g.Point A5.16)refers to the relevant paragraph i

84、n the chapter concerned(in this case Chapter 5,point 16).The EPO as ISA/IPEA has chosen the options listed below.Appendix to Chapter 4 Point A4.05 References to prior art Option 1 applies Appendix to Chapter 5 Point A5.16 Multiple dependent claims Option 2 applies Point A5.20 Interpretation of claim

85、s Option 2 applies Point A5.21 The EPO applies the first sentence concerning use claims Point A5.26 Product-by-process claims Option 1 applies Point A5.42 Conciseness Option 2 applies Appendix to Chapter 9 Point A9.07 Excluded subject matter Option 2 applies Point A9.15 Programs for computers Option

86、 2 applies Appendix to Chapter 12 Point A12.02 Novelty:effective date Option 1 applies General Part 14 PCT-EPO Guidelines March 2024 Appendix to Chapter 13 Point A13.08.1 The EPO applies the problem-solution approach Appendix to Chapter 14 Point A14.012 The EPO applies the criterion of industrial ap

87、plicability Appendix to Chapter 20 Point A20.21 Disclaimer Option 2 applies PCT Part A Guidelines for Formalities Examination March 2024 PCT-EPO Guidelines Part A Contents a Contents Chapter I Introduction I-1 1.Overview I-1 2.Purpose of Part A I-1 3.Other Parts relating to formalities I-1 Chapter I

88、I Filing of international applications and examination on filing II-1 1.Where and how international applications may be filed II-1 1.1 Filing with the EPO as receiving Office II-1 1.2 Methods of filing with the EPO as receiving Office II-1 1.2.1 Filing of applications electronically II-1 1.2.2 Filin

89、g of applications by fax II-2 1.2.3 Filing of applications by delivery by hand or by post II-3 1.2.4 Filing of applications by other means II-3 1.3 Filing of documents subsequent to the application II-3 1.4 Debit orders for deposit accounts held with the EPO II-4 1.5 Application numbering system II-

90、4 2.Competence of the EPO to act as receiving Office II-4 3.Procedure on filing II-4 3.1 Acknowledgement of receipt II-4 3.2 Filing via a competent national authority II-5 4.Examination on filing II-5 4.1 Minimum requirements for according an international filing date II-5 4.2 Defects II-6 5.Incorpo

91、ration by reference of missing elements or parts II-6 6.Correction of erroneously filed elements or parts II-7 Part A Contents b PCT-EPO Guidelines March 2024 6.1 Correct element or part not furnished for the purpose of incorporation by reference II-8 6.1.1 International filing date has not yet been

92、 accorded II-8 6.1.2 International filing date has already been accorded II-8 6.2 Correct element or part furnished for the purpose of incorporation by reference II-8 Chapter III Fees III-1 1.General III-1 2.Amounts of fees III-1 3.Methods of payment III-1 4.Fees to be paid to the EPO as receiving O

93、ffice III-2 4.1 Transmittal fee III-2 4.2 International filing fee III-2 4.3 International search fee III-3 4.4 Fee for establishment and transmittal to the IB of a certified copy of the priority document III-3 4.5 Late payment fee III-4 4.6 Fee for requesting restoration of priority right III-4 5.F

94、ees to be paid to the ISA/EP III-5 5.1 Additional search fee III-5 5.2 Protest fee III-5 5.3 Fee for the late furnishing of sequence listings III-5 6.Fees to be paid if a SIS request is submitted III-5 6.1 Supplementary search handling fee III-5 6.2 Supplementary search fee III-5 6.3 Review fee III-

95、6 7.Fees to be paid to the IPEA/EP III-6 7.1 Handling fee III-6 7.2 Preliminary examination fee III-6 7.2.1 Additional preliminary examination fee III-6 March 2024 PCT-EPO Guidelines Part A Contents c 7.3 Protest fee III-7 7.4 Fee for the late furnishing of sequence listings III-7 7.5 Late payment f

96、ee III-7 8.Reduction of fees III-7 8.1 Reduction of the international filing fee III-7 8.1.1 Reduction for applications filed in electronic form III-8 8.1.1.1 Web-form filing(WFF)reduction III-8 8.1.1.2 PDF reduction III-8 8.1.1.3 XML reduction III-8 8.1.2 Reductions for applicants from certain stat

97、es III-8 8.2 Reduction of the international search fee III-8 8.2.1 Reduction of the additional search fee III-9 8.3 Reduction of the(supplementary search)handling fee III-9 8.4 Reduction of the preliminary examination fee III-9 8.4.1 Reduction of the additional preliminary examination fee III-9 9.Re

98、fund of fees III-9 9.1 Refund of the international filing fee III-10 9.2 Refund of the(additional)international search fee III-10 9.2.1 Examples of refunds III-10 9.2.1.1 Full refund III-10 9.2.1.2 Partial refund III-11 9.2.1.3 No refund III-11 9.3 Refund of additional search fees and,where applicab

99、le,the protest fee III-11 9.4 Refund of the supplementary search fee III-12 9.5 Refund of the review fee III-12 9.6 Refund of the handling fee III-12 9.7 Refund of the preliminary examination fee III-12 9.8 Refund of additional examination fees and,where applicable,the protest fee III-12 Chapter IV

100、Special provisions IV-1 1.PCT Direct service(see also GL/PCT-EPO B-IV,1.2)IV-1 Part A Contents d PCT-EPO Guidelines March 2024 1.1 General remarks IV-1 1.2 Form of submissions IV-1 1.3 Processing by the EPO as RO IV-2 1.4 Processing by the EPO as ISA IV-2 2.Withdrawals IV-2 2.1 General remarks IV-2

101、2.2 Withdrawal of the international application IV-3 2.2.1 Conditional withdrawal IV-3 2.3 Withdrawal of designations IV-3 2.4 Withdrawal of priority claims IV-4 2.5 Withdrawal of the supplementary search request IV-4 2.6 Withdrawal of the demand or of elections IV-4 Chapter V Drawings V-1 1.Graphic

102、 forms of presentation considered to be drawings V-1 1.1 Technical drawings V-1 1.2 Photographs or coloured drawings V-1 2.Presentation of drawings V-1 2.1 Grouping of drawings V-1 2.2 Reproducibility of drawings V-2 2.3 Figure accompanying the abstract V-2 3.Requirements regarding the paper used V-

103、2 4.Presentation of the sheets of drawings V-2 4.1 Usable surface area of sheets V-2 4.2 Numbering of sheets of drawings V-2 5.General layout of drawings V-3 5.1 Page-setting V-3 5.2 Numbering of figures V-3 March 2024 PCT-EPO Guidelines Part A Contents e 5.3 Whole figure V-3 6.Prohibited matter V-4

104、 7.Execution of drawings V-4 7.1 Drawings of lines and strokes V-4 7.2 Shading V-4 7.3 Cross-sections V-4 7.3.1 Sectional figures V-4 7.3.2 Hatching V-4 7.4 Scale of drawings V-5 7.5 Numbers,letters and reference signs V-5 7.5.1 Leading lines V-5 7.5.2 Arrows V-5 7.5.3 Height of the numbers and lett

105、ers in the drawings V-6 7.5.4 Consistent use of reference signs in the description,claims and drawings V-6 7.5.5 Consistent use of reference signs in the drawings V-6 7.6 Variations in proportions V-6 8.Text matter in drawings V-6 9.Conventional symbols V-7 10.Amendments to drawings V-7 11.Graphic f

106、orms of presentation not considered to be drawings V-7 11.1 Chemical and mathematical formulae V-7 11.2 Tables V-8 11.2.1 Tables in the description V-8 11.2.2 Tables in the claims V-8 Chapter VI Examination of formal requirements VI-1 1.Claim to priority VI-1 1.1 Formal requirements under Rule 4.10

107、VI-1 1.2 Priority period VI-2 1.3 Inconsistency in the priority claim VI-2 1.4 Defects in the priority claim VI-2 Part A Contents f PCT-EPO Guidelines March 2024 1.4.1 Correction of the priority claim upon invitation VI-3 1.4.2 Failure to correct VI-3 1.5 Restoration of the right of priority VI-4 1.

108、6 Applicants entitlement to claim priority VI-6 Chapter VII Languages VII-1 1.Admissible languages on filing VII-1 1.1 General VII-1 1.2 International application filed in multiple languages VII-1 1.2.1 Abstract and text matter of the drawings VII-1 1.2.2 Request VII-1 1.2.3 Description and claims V

109、II-1 1.2.3.1 Sentences or short fragments of the description and/or claims in a language other than the language of the proceedings VII-1 1.2.3.2 Technical or non-technical terms used in the description and/or the claims in a language other than the language of the proceedings VII-2 2.Language of th

110、e proceedings VII-2 2.1 Language for the purpose of the international search VII-2 2.2 Language for the purpose of the supplementary international search VII-2 2.3 Language for the purpose of the international preliminary examination VII-3 3.Derogations from the language of the proceedings in writte

111、n proceedings VII-3 3.1 Written submissions VII-3 3.2 International applications filed in Dutch VII-3 3.3 Priority documents VII-3 3.4 Third-party observations VII-3 4.Correction of the translation VII-3 5.Authentic text of the international application VII-3 Chapter VIII Common provisions VIII-1 1.

112、Representation VIII-1 March 2024 PCT-EPO Guidelines Part A Contents g 1.1 General principles VIII-1 1.2 Representation by an agent VIII-1 1.3 Representation by a common agent,common representative or deemed common representative VIII-2 1.4 Representation by an employee VIII-3 1.5 Manner of appointme

113、nt of an agent,common agent or common representative VIII-3 1.6 Address for correspondence VIII-3 1.7 Representation before the EPO as International Searching Authority VIII-4 1.8 Representation before the EPO as Supplementary International Searching Authority VIII-4 1.9 Representation before the EP

114、O as International Preliminary Examining Authority VIII-5 1.10 Representation before the EPO as designated or elected Office VIII-5 1.11 Power of attorney VIII-6 1.12 General power of attorney VIII-6 1.13 Waivers exceptions to applicability VIII-6 2.Form of documents VIII-7 2.1 Documents making up t

115、he international application VIII-7 2.2 Later documents VIII-7 2.3 Number of copies VIII-7 2.4 Filing of subsequent documents VIII-8 3.Signature of documents VIII-8 3.1 Documents filed after filing the international application VIII-8 3.2 Signature of the PCT request and a power of attorney VIII-8 3

116、.3 Form of signature VIII-8 3.4 Joint applicants VIII-8 March 2024 PCT-EPO Guidelines Part A Chapter I-1 Chapter I Introduction 1.Overview This current edition of Part A of the PCT-EPO Guidelines deals with filing requirements(Chapter A-II),fees(Chapter A-III),certain special provisions(Chapter A-IV

117、),drawings(Chapter A-V),certain formal requirements(Chapter A-VI),languages(Chapter A-VII)and common provisions(Chapter A-VIII).Other chapters relating to formalities will gradually be added in successive editions.2.Purpose of Part A Formalities officers should note that this Part A is intended to p

118、rovide them with knowledge and background to help them carry out their functions in a uniform and expeditious manner.It provides guidance in addition to other relevant PCT legal sources,such as the PCT Administrative Instructions,the PCT Receiving Office Guidelines,the PCT International Search and P

119、reliminary Examination Guidelines and the Euro-PCT Guide.In case of conflict,the PCT Administrative Instructions,the PCT Receiving Office Guidelines and the PCT International Search and Preliminary Examination Guidelines prevail.3.Other Parts relating to formalities It should be noted that informati

120、on on the procedures for formalities examination at the EPO in its capacity as RO,(S)ISA and IPEA is not restricted to this Part A.Other chapters of the PCT-EPO Guidelines are necessary for the work carried out by formalities officers.March 2024 PCT-EPO Guidelines Part A Chapter II-1 Chapter II Fili

121、ng of international applications and examination on filing 1.Where and how international applications may be filed 1.1 Filing with the EPO as receiving Office Natural and legal persons who are nationals or residents of a PCT contracting state may file an international application with any of the fol

122、lowing as receiving Office,provided that this option is available to them:the national office of that state the office acting for that state the International Bureau(IB)Natural and legal persons who are nationals or residents of an EPC contracting state may file an international application with the

123、 EPO as receiving Office instead.The national patent offices of Belgium,Monaco,Montenegro and San Marino have ceased to act as receiving Offices under the PCT and delegated this task to the EPO,which will thus act as receiving Office on their behalf for all international applications filed by applic

124、ants who are nationals or residents of,or have their principal place of business in,one of these states.For more information on when the EPO is competent to act as receiving Office,see GL/PCT-EPO A-II,2.1.2 Methods of filing with the EPO as receiving Office International applications must be filed u

125、sing the PCT request form(PCT/RO/101)and submitted either electronically or on paper.1.2.1 Filing of applications electronically An international application may be filed electronically with the EPO as receiving Office.The EPO offers the following free-of-charge electronic filing tools:Online Filing

126、(OLF),a software application Online Filing 2.0 Web-Form Filing EPO Contingency Upload Service In addition,applicants may use ePCT,an electronic filing tool offered by WIPO.Art.2(xv)Art.9,10 R.18,19 GL/PCT-EPO A-II,3.2 Art.151 EPC R.157(1)EPC OJ EPO 2014,A33 R.19.1(b)OJ EPO 2018,A17 OJ EPO 2018,A105

127、OJ EPO 2019,A96 OJ EPO 2022,A82 R.89bis OJ EPO 2021,A43 OJ EPO 2018,A25 OJ EPO 2023,A48 OJ EPO 2021,A21 OJ EPO 2014,A107 Part A Chapter II-2 PCT-EPO Guidelines March 2024 The EPO no longer accepts international applications filed with it as receiving Office using the PCT-SAFE filing software.This ha

128、s been the case since 1 July 2020.Filings using the OLF software may be made online or on electronic data carriers accepted by the EPO.At present,the data carriers accepted are CD-Rs conforming to ISO 9660,DVD-Rs and DVD+Rs.All the means of electronic filing,except for the Web-Form Filing service an

129、d the EPO Contingency Upload Service,allow applicants to fill in the PCT request form(PCT/RO/101)directly in the electronic document formats that are accepted by the EPO as receiving Office.If the documents making up the international application have been prepared by conversion from a different ele

130、ctronic document format(pre-conversion format),the applicant may submit the documents in that format too,preferably together with a statement that the international application in electronic form is a complete and accurate copy of the documents in pre-conversion format.Each pre-conversion document m

131、ust be in a format that fulfils the requirements stipulated in OJ EPO 2023,A48.It is recommended that pre-conversion documents be submitted as ZIP files.1.2.2 Filing of applications by fax An international application may be filed by fax with one of the EPOs filing offices in Munich,The Hague or Ber

132、lin.All EPO filing offices are based in the Central European Time(CET)zone.If an international application is filed by fax,the date on which the application documents are received in full is accorded as the date of filing,provided that the requirements under Art.11 are fulfilled(see GL/PCT-EPO A-II,

133、4.1).If an international application is filed by fax,the original,i.e.the confirmation copy,must be filed,preferably simultaneously,and the fax should state that the confirmation copy has been filed separately on paper at the same time.The confirmation copy should be a single copy of each document m

134、aking up the application and each accompanying document.The first page of the PCT request form(PCT/RO/101)sent as a confirmation copy should be marked CONFIRMATION COPY,followed by the date of the fax transmission.It is recommended that the confirmation copy be accompanied by EPO Form 1032,which is

135、available on the EPO website.If the confirmation copy has not been received within 14 days of receipt of the application,the EPO as receiving Office will despatch an invitation to submit it within a month(Form PCT/RO/141).If the confirmation copy is not provided within this time limit,the internatio

136、nal application will be considered withdrawn(Form PCT/RO/117).If an international application filed by fax is illegible or incomplete,or the fax transmission has failed,the application will be treated as not having been OJ EPO 2020,A59 OJ EPO 2023,A48 AI 706 OJ EPO 2023,A48 R.92.4 R.29.1 OJ EPO 2019

137、,A18 AI 331 March 2024 PCT-EPO Guidelines Part A Chapter II-3 received and the sender must be notified as soon as possible using Form PCT/RO/140.1.2.3 Filing of applications by delivery by hand or by post An international application may be filed by delivery by hand or by post with one of the EPOs f

138、iling offices in Munich,The Hague or Berlin.All EPO filing offices are based in the Central European Time(CET)zone.For further details,see GL/EPO A-II,1.2.The documents making up the international application must be filed in one copy only.The date of filing accorded to an application delivered by h

139、and or by post is the date of handing over or receipt respectively at an EPO filing office,provided that the requirements under Art.11 are fulfilled(see GL/PCT-EPO A-II,4.1).If a filing sent by post is lost or delayed,the EPO accepts evidence of posting only if the document was sent via a postal aut

140、hority or one of the following generally recognised postal service providers:Chronopost,DHL,Federal Express,flexpress,TNT,SkyNet,UPS or Transworld.As evidence,confirmation of registration by the post office or confirmation of receipt by the postal service provider must be provided at the EPOs reques

141、t.Rules 82 and 82quater do not apply to the priority period,but they do apply to the time limit for submission of a request for restoration of the right of priority under Rule 26bis.3(see GL/PCT-EPO A-VI,1.5).1.2.4 Filing of applications by other means International applications may not be filed wit

142、h the EPO by email or similar means of communication.Any application filed by such means will be considered not to have been received and the applicant will be informed accordingly using Form PCT/RO/142.1.3 Filing of documents subsequent to the application Documents subsequent to the international a

143、pplication may be filed with the EPO as receiving Office electronically or on paper;see GL/PCT-EPO A-II,1.2.In the international phase,authorisations may not be filed with the EPO as receiving Office by fax or using the EPO Web-Form Filing service.Priority documents may not be filed by fax,using the

144、 EPO Web-Form Filing service or using the EPO Contingency Upload Service.Priority documents may be filed electronically using OLF or Online Filing 2.0,provided they have been digitally signed by the issuing authority and the signature is accepted by the EPO.Priority documents may also be filed with

145、the IB using ePCT.If a document subsequent to the international application is filed by fax,there is no need to submit a confirmation copy unless the receiving Office invites the applicant to submit one(Form PCT/RO/141).It might do so particularly for substitute sheets under Rule 26 and sheets to be

146、 incorporated by reference under Rule 20.6.For such sheets,applicants are therefore advised to submit a confirmation copy on their own initiative OJ EPO 2018,A18 OJ EPO 2018,A27 OJ EPO 2017,A11 OJ EPO 2006,439 Art.48(1)R.26bis.3,82.1,82quater OJ EPO 2015,A29 OJ EPO 2000,458 OJ EPO 2019,A18 OJ EPO 20

147、23,A48 OJ EPO 2019,A18 R.92.4(g)(ii)OJ EPO 2019,A18 Part A Chapter II-4 PCT-EPO Guidelines March 2024 directly after sending them by fax.If a confirmation copy is not submitted within the time limit prescribed in the invitation issued by the receiving Office,the document will be treated as not havin

148、g been received(Form PCT/RO/149).1.4 Debit orders for deposit accounts held with the EPO An international application may be accompanied by a debit order for the fees due on filing.For the electronic means of filing accepted for debit orders,see GL/PCT-EPO A-III,3.1.5 Application numbering system At

149、 the EPO,the number range starting at 000001(PCT/EPyyyy/000001)is used for paper filings(including faxes).The number range starting at 025000(PCT/EPyyyy/025000)is used for filings made via Web-Form Filing.The number range starting at 050000(PCT/EPyyyy/050000)is assigned to electronic filings made us

150、ing Online Filing 2.0,OLF or ePCT.2.Competence of the EPO to act as receiving Office The EPO is competent to act as the receiving Office for an international application provided that:The applicant is a national or resident of an EPC contracting state which is also a PCT contracting state(currently

151、the case for all EPC contracting states).If there are two or more applicants,at least one must be a resident or national of an EPC contracting state.A person mentioned only as an inventor does not qualify as an applicant.Hence,the nationality or residence of a person mentioned only as an inventor is

152、 irrelevant for determining whether the EPO is competent to act as receiving Office.The international application is filed in one of the EPOs official languages(English,French or German).Where the applicant is not a national or resident of an EPC contracting state or the application is in a language

153、 other than English,French or German,the EPO is not the competent receiving Office and the EPO will transmit the purported international application to the IB.The applicant will be informed accordingly(Form PCT/RO/151).For the purpose of the international filing date,the application will nevertheles

154、s be considered to have been received by the IB as receiving Office on the date that the EPO received it.In such cases,the EPO does not charge the transmittal fee for the transmittal of the documents to the IB.Any fees paid to the EPO will be refunded.3.Procedure on filing 3.1 Acknowledgement of rec

155、eipt For international applications filed online using OLF,Online Filing 2.0 or Web-Form Filing,receipt is acknowledged electronically following successful submission.The acknowledgement contains the identity of the receiving Office,the date and time of receipt,a reference or application AI 307 R.19

156、.1-19.2 R.157(1)EPC OJ EPO 2014,A33 R.12.1(a)Art.14,R.157(2)EPC R.19.4(b)R.19.4(c)OJ EPO 1993,764 GL/RO 274 OJ EPO 2023,A48 March 2024 PCT-EPO Guidelines Part A Chapter II-5 number,a list of the files transmitted and,for online filings using OLF or Online Filing 2.0,a message digest,i.e.the message

157、in compressed form.The EPO as receiving Office will acknowledge receipt of a purported international application filed on paper,by fax or using an electronic data carrier using EPO Form 1031,which will be sent by post,as a rule within four working days.In it,the EPO will explicitly confirm the recei

158、pt of each document making up the international application and each accompanying item.However,the EPO does not verify the number of sheets making up a given document.EPO Form 1031 is also sent for international applications filed using Web-Form Filing,in addition to the electronic acknowledgement o

159、f receipt generated for such applications.The EPO acknowledges receipt of documents filed using the EPO Contingency Upload Service electronically in the service.An acknowledgement indicating in particular the application number,where applicable,is also sent in accordance with the provisions governin

160、g the filing of documents on paper.Upon receipt of paper documents purporting to be an international application,the EPO as receiving Office proceeds according to GL/RO,Chapter IV,paragraph 35.For general information on the receipt of documents at the EPO and for information on acknowledgement of re

161、ceipt by fax,see GL/EPO A-II,3.1,which applies mutatis mutandis to international applications.3.2 Filing via a competent national authority The national law of an EPC contracting state may stipulate that,for national security reasons,an international application must be filed with the EPO as receivi

162、ng Office via a competent authority of that state.In such cases,the national authority will act as the filing office for the EPO acting as receiving Office.The date of receipt of the application by the national authority will be accorded as the international filing date by the EPO as receiving Offic

163、e,provided that the application meets the PCT requirements for a filing date to be accorded(see GL/PCT-EPO A-II,4.1).The national authority must ensure that the application reaches the EPO not later than two weeks before the end of the 13th month from filing or,if priority is claimed,from the earlie

164、st date of priority.For further details,see GL/RO Chapter III.4.Examination on filing 4.1 Minimum requirements for according an international filing date The international filing date of an international application is the date on which it is received at one of the EPOs filing offices,or at a nation

165、al authority in an EPC contracting state(see GL/PCT-EPO A-II,3.2),provided that the following minimum requirements are fulfilled at the time of receipt:The applicant is a resident or national of an EPC contracting state.OJ EPO 2019,A19 OJ EPO 2023,A48 Art.75(2),151 EPC R.157(1),(3)EPC R.19.1(b)GL/RO

166、 Chapter III GL/RO 43 Art.11 GL/RO 39-44 Part A Chapter II-6 PCT-EPO Guidelines March 2024 The application(description and claim(s)is in English,French or German.The application contains at least the following elements:an indication that it is intended as an international application(this indication

167、 is in the header of the request form,PCT/RO/101)a request which constitutes the designation of a state bound by the PCT on the international filing date(filing the request form,PCT/RO/101,automatically designates all PCT contracting states)the name of the applicant a part which on the face of it ap

168、pears to be a description a part which on the face of it appears to be a claim or claims.If these requirements have been fulfilled,the purported international application will be accorded its actual date of receipt as the international filing date;the applicant will be notified accordingly(Form PCT/

169、RO/105).4.2 Defects If the EPO as receiving Office finds that,at the time of receipt,the international application does not comply with one or more of the requirements under Art.11 for according an international filing date,it will invite the applicant to file the required correction(s)within two mo

170、nths of the date of the invitation(Form PCT/RO/103).If the applicant complies,the international filing date will be the date of receipt of the correction(s);otherwise,the application will not be treated as an international application(Form PCT/RO/104).For further details on the procedure followed by

171、 the EPO as receiving Office in the event of defects under Art.11(1),see GL/RO 45-48 and 50.If the defect is the omission of an element(description or claims),the applicant may decide either to furnish the missing element as a correction under Art.11(2)and R.20.3(a)(i)as described above or to confir

172、m its incorporation by reference.The second option is described in GL/PCT-EPO A-II,5.If the time limit for the correction of the purported international application expires after the 12-month priority period,the applicants attention is drawn to this circumstance in Form PCT/RO/103.5.Incorporation by

173、 reference of missing elements or parts If the applicant has omitted to file with the international application a part of the description or of the claims,part or all of the drawings or an entire element,i.e.the entire description or all the claims,the omission may be incorporated in the internation

174、al application by reference.Art.11(2)R.20 GL/RO 45-48A R.4.18,20.5 R.4.18,20.3,20.5,20.6,20.7 March 2024 PCT-EPO Guidelines Part A Chapter II-7 Firstly,the omission must be completely contained in an application from which priority was claimed on the international filing date.For an omission to be c

175、ompletely contained,it must be identical to the corresponding text/drawing in the priority document.Secondly,the PCT request must have contained a statement of incorporation by reference to the priority application.A statement to that effect is already provided for in Box VI of the PCT request form(

176、PCT/RO/101).Thirdly,the conditions for confirmation in Rules 20.6 and 20.7 must be met.If all the conditions are met,the omission is considered to be incorporated by reference and the international filing date is unaffected.If the description and/or claims as contained in the priority application do

177、 not qualify as missing parts on the grounds that the international application already contained a complete description and/or a complete set of claims,the EPO as receiving Office will proceed to a negative finding under GL/RO paragraph 205D and will not transmit the international application to th

178、e IB in accordance with Rule 19.4(a)(iii).An applicant wishing to add to an international application omitted parts which have no basis in a priority application may do so under Rule 20.5.However,the filing date of the application as a whole will then be the date on which the missing parts are filed

179、.6.Correction of erroneously filed elements or parts If the international application contains an erroneously filed element(description or claims)or an erroneously filed part of the description,claims or drawings(including the case where all the drawings have been erroneously filed),the applicant ma

180、y correct the international application by furnishing the correct element or part under Rule 20.5bis.According to that rule,which entered into force on 1 July 2020,the applicant may request to either(a)correct the international application under Rule 20.5bis(b)or(c)(see GL/PCT-EPO A-II,6.1);or(b)whe

181、re the correct element or part is contained in a priority application,incorporate it in the international application by reference under Rule 20.5bis(d).Until 31 October 2022,this latter option was not available at the EPO,since this procedure was incompatible with the legal framework under the EPC.

182、The EPO as receiving Office had therefore notified the IB of this incompatibility under Rule 20.8(a-bis).However,following the withdrawal of this notification of incompatibility with Rule 20.5bis(a)(ii)and(d),the EPO as receiving Office may now also process requests for incorporation by reference of

183、 the correct element or part for international applications filed on or after 1 November 2022.See GL/PCT-EPO A-II,6.2.R.20.5bis OJ EPO 2022,A71 OJ EPO 2020,A81 Part A Chapter II-8 PCT-EPO Guidelines March 2024 For details on the procedure before the EPO as International Searching Authority,see GL/PC

184、T-EPO B-III,2.3.3.For the procedure before the EPO as designated or elected Office,see GL/EPO C-III,1.3.6.1 Correct element or part not furnished for the purpose of incorporation by reference The procedure to be followed varies depending on whether the correction is requested either on/before the da

185、te on which the requirements under Art.11(1)for the accordance of an international filing date are fulfilled(see GL/PCT-EPO A-II,6.1.1)or after that date(see GL/PCT-EPO A-II,6.1.2).6.1.1 International filing date has not yet been accorded If the international filing date has not yet been accorded,th

186、e wrong element or part will be replaced with the correct one and the international filing date will be the date on which the requirements under Art.11(1)are fulfilled,taking into account the correct element or part only.The EPO as receiving Office follows the procedure outlined in AI,section 310.6.

187、1.2 International filing date has already been accorded If the requirements under Art.11(1)have already been fulfilled and the international filing date has been accorded,the wrong element or part will be replaced with the correct one and the international filing date will be changed to the date on

188、which the correct element or part was received,unless the applicant requests that the correct element or part be disregarded under Rule 20.5bis(e).The EPO as receiving Office follows the procedure outlined in AI,sections 310 and 310bis.6.2 Correct element or part furnished for the purpose of incorpo

189、ration by reference For international applications filed on or after 1 November 2022,the EPO as receiving Office will process requests for incorporation by reference under Rule 20.5bis(d)of the correct element or part.If the requirements of Rules 20.6(b)and 4.18 are fulfilled,the correct element or

190、part will be considered to have been contained in the purported international application on the date on which one or more elements referred to in Art.11(1)(iii)were first received by the receiving Office,without a change to the international filing date.The wrong element or part,marked as ERRONEOUS

191、LY FILED(RULE 20.5bis),will remain in the international application.The EPO as receiving Office follows the procedure outlined in AI,section 309.For the procedure before the EPO as ISA see GL/PCT-EPO B-III,2.3.3 and for the procedure before the EPO as SISA see GL/PCT-EPO B-XII,3.For the procedure be

192、fore the EPO as IPEA see GL/PCT-EPO H-II,2.2.2 and the notice from the EPO dated 14 June 2020,OJ EPO 2020,A81.For the procedure before the EPO as designated Office/elected Office see GL/EPO C-III,1.3.R.20.5bis(b)and(c)R.20.5bis(b)AI 310 GL/RO 203A R.20.5bis(c)AI 310 and 310bis GL/RO 203A and B R.20.

193、5bis(a)(ii)and(d)OJ EPO 2022,A71 AI 309 March 2024 PCT-EPO Guidelines Part A Chapter II-9 For international applications filed until 31 October 2022,if the applicant requests within the time limit under Rule 20.7 that a correct element or part be incorporated by reference,the EPO as receiving Office

194、 will transmit the international application to the IB as receiving Office,provided the applicant authorises it to do so.No fee will be charged under Rule 19.4(b)for such transmittal.Unless the applicant has already submitted authorisation to transmit the international application,the EPO as receivi

195、ng Office will invite the applicant to do so using Form PCT/RO/152.If the applicant does not authorise the transmittal,the request will be treated as a request for correction under Rule 20.5bis(b)or(c).The EPO as receiving Office will therefore follow the procedure outlined in GL/PCT-EPO A-II,6.1.R.

196、19.4(a)(iii)R.20.5bis(a)(ii)and(d)R.20.8(a-bis)AI 309(g)GL/RO 195 March 2024 PCT-EPO Guidelines Part A Chapter III-1 Chapter III Fees 1.General Guidance for the payment of fees,expenses and prices is published in each issue of the EPOs Official Journal.Updated information relating to fees and method

197、s of payment,including the EPO bank account for payments in euro,can also be found on the EPO website(epo.org)under:Applying for a patent Fees International(PCT)fees.Applicants are also recommended to consult the latest information available on the WIPO website.2.Amounts of fees The latest informati

198、on about amounts can be found on both the EPO website(epo.org,under Applying for a patent Fees International(PCT)fees Fees for international applications)and the WIPO website(wipo.int,under IP Services PCT The International Patent System PCT Fee Tables).In addition,the amounts of the fees to be paid

199、 to the EPO can be found in the EPOs Schedule of fees and expenses published in the Official Journal and accessible via the EPO website(epo.org,under Law&practice Legal texts Official Journal).The amount of fees to be paid for the benefit of the IB is fixed in Swiss francs and is specified in the Sc

200、hedule of Fees which is annexed to the PCT Regulations(PCT Schedule of Fees)and forms an integral part thereof.If these fees are paid to the EPO,they must be paid in euros.Due to changes in the exchange rate between the euro and the Swiss franc,the equivalent amount is changed from time to time.Curr

201、ent fee rates are published in the PCT Newsletter,in WIPOs Official Notices(PCT Gazette)and in the EPOs Official Journal.3.Methods of payment Fee payments to the EPO may be validly made by anyone:applicants,agents and any other person.All fees which are to be paid to the EPO must be paid in euros:by

202、 payment or transfer to a bank account held by the EPO;or by credit card;or by debiting a deposit account held with the EPO on the basis of a debit order filed in an electronically processable format(XML)using one of the accepted electronic means of filing,i.e.the EPO Online Filing software,Online F

203、iling 2.0 or ePCT.Alternatively,a debit order can be submitted in electronic format via Central Fee Payment.Details of payment by deposit account may be found in the Arrangements for deposit accounts(ADA)and their annexes,which can also be found on the EPO website(epo.org).Rule 96.1 PCT Schedule of

204、Fees Rules 14.1(c),15.3,16.1(f),57.2,96.1 OJ EPO 2022,A81 OJ EPO 2015,A53 OJ EPO 2017,A72,OJ EPO 2022,A18,OJ EPO 2022,A81 Supplementary publication 3,OJ EPO 2022 OJ EPO 2022,A81 Supplementary publication 3,OJ EPO 2023,10 OJ EPO 2023,A58 Part A Chapter III-2 PCT-EPO Guidelines March 2024 In the event

205、 of a general unavailability of the permitted electronic means of communication,the EPO will make use of the extension of time limits for the payment of fees,as for the performance of any other procedural acts,and will inform the IB accordingly.Payment of fees by cheque delivered or sent directly to

206、 the EPO was abolished with effect from 1 April 2008.The date to be considered as the date on which a payment is made is established in accordance with the EPOs Rules relating to Fees.4.Fees to be paid to the EPO as receiving Office 4.1 Transmittal fee The transmittal fee is paid for the benefit of

207、the EPO as receiving Office(RO/EP)and its amount is fixed by the EPO.It is to be paid within one month from the date of receipt of the international application.The amount payable is the amount applicable on that date of receipt.As of a date to be set by the President of the EPO,if the international

208、 application is filed online in character-coded format,no transmittal fee will have to be paid.That date will be published in advance in the EPOs Official Journal.4.2 International filing fee The international filing fee is collected by the RO/EP for the benefit of the IB and its amount is fixed by

209、the IB.It is to be paid within one month from the date of receipt of the international application.The amount payable is the amount applicable on that date of receipt.The international filing fee is made up of a fixed amount(the basic filing fee part);and an additional amount(the page fee part)for e

210、ach sheet above 30(including the abstract,even if missing at the time of filing the international application).Applicants must compute the additional amount themselves and not wait for a communication from the EPO,because as from expiry of the one-month time limit any missing amount may only be vali

211、dly paid together with a late payment fee(see GL/PCT-EPO A-III,4.5).For any reductions that may apply,see GL/PCT-EPO A-III,8.1.The RO/EP will not confirm to the applicants that all fees have been duly paid,nor inform them in advance that an overpayment will be refunded(e.g.using Form PCT/RO/102).How

212、ever,if the RO/EP notes before the expiry of the time limit for payment of the relevant fee that the amount paid is not sufficient,it will either proceed to debit any missing amount from the applicants deposit account where the applicant has authorised it to do so,or it may informally(e.g.by phone)i

213、nvite the applicant to pay the shortfall before expiry of the time limit.If full payment of the amounts due has not been received upon expiry of the R.82quater.2 OJ EPO 2007,626 Art.7(1)RFees Rule 14 Art.2(1)RFees Rule 157(4)EPC OJ EPO 2018,A4 OJ EPO 2019,A3 OJ EPO 2019,A6 Rule 15 OJ EPO 2018,A101 G

214、L/RO 241 March 2024 PCT-EPO Guidelines Part A Chapter III-3 time limit,the RO/EP will proceed as described under GL/PCT-EPO A-III,4.5.In the event of overpayment,the RO/EP will inform the applicant by means of Form PCT/RO/132 that the refund due has been processed.No communication giving advance not

215、ice of the refund is sent.If the application contains a sequence listing as part of the description,the pages forming that part are not taken into account for calculating the page fee if the following requirements are met:(i)the application is filed in electronic form,(ii)the sequence listing formin

216、g part of the application is filed in XML format in compliance with WIPO Standard ST.26(see Annex C to the Administrative Instructions under the PCT,paragraph 4).If any other option for filing a sequence listing is chosen filing on paper,in image format or in another electronic format which is not X

217、ML the additional amount of the international filing fee is calculated taking into account each page of the sequence listing.If necessary,this additional amount is calculated after conversion by the RO/EP of the file into the format of the main part of the description.The RO/EP then invites the appl

218、icant to confirm whether the content of that converted file is intended to form part of the description and to pay any corresponding page fee(Form PCT/RO/132)within a time limit of one month from the date of the invitation.The content of the converted file is not considered part of the international

219、 application if the applicant so indicates or fails,within that time limit,to pay the applicable fees.4.3 International search fee The international search fee is collected by the RO/EP for the benefit of the EPO as International Searching Authority(ISA/EP)and its amount is fixed by the EPO.It is to

220、 be paid within one month from the date of receipt of the international application.The amount payable is the amount applicable on that date of receipt.For any reductions that may apply,see GL/PCT-EPO A-III,8.2.If the international search fee is not fully paid within the prescribed time limit,the RO

221、/EP proceeds as described under GL/PCT-EPO A-III,4.5.4.4 Fee for establishment and transmittal to the IB of a certified copy of the priority document The fee for establishment and transmittal to the IB of a certified copy of the priority document is paid for the benefit of the RO/EP and applies only

222、 if the RO/EP is requested by the applicant to prepare and transmit such a copy(e.g.by checking the corresponding box in Box VI of the PCT request form,PCT/RO/101)and if the earlier priority application was filed before the EPO(EP applications or earlier PCT applications filed at the EPO).Its amount

223、 is fixed by the EPO.It is not due if the applicant requests the IB to obtain a certified copy of the priority application from a digital library and OJ EPO 2022,A60 Rule 16 Art.2(1)RFees OJ EPO 2018,A4 Rule 17.1(b)and(b-bis)Art.3(1)Rfees OJ EPO 2023,A3 OJ EPO 2019,A27 AI 715 and 716 PCT AG I 5.070

224、PCT Newsletter 4/2019 Part A Chapter III-4 PCT-EPO Guidelines March 2024 indicates the Digital Access Service(DAS)access code on the PCT request form(PCT/RO/101,Box VI).The procedure whereby the EPO includes,free of charge,a copy of the earlier application from which priority is claimed in the file

225、of a European patent application(cf.GL/EPO A-III,6.7)does not apply in respect of an international application processed by the RO/EP.4.5 Late payment fee If the transmittal fee,the international filing fee and the search fee are not paid within the prescribed time limits,or if the amounts paid are

226、not sufficient to cover the fees due,the RO/EP invites the applicant to pay the missing amount together with a late payment fee for its own benefit(Form PCT/RO/133).Such payment has to be made within one month from the date of the invitation.The late payment fee is equal to 50%of the amount of the u

227、npaid fee or,if the resulting amount is less than the transmittal fee,to an amount equal to the transmittal fee.The late payment fee may however not exceed the amount of 50%of the international filing fee as specified in the PCT Schedule of Fees(without taking into account any fee due for each page

228、of the international application in excess of 30 pages).If the applicant complies with the invitation(Form PCT/RO/133)within the indicated time limit,payment is deemed to have been made in due time.If the applicant pays the fees after the time limit for payment expires but before the invitation is i

229、ssued by the RO/EP(Form PCT/RO133),the payment is considered to have been received in time.Failure to pay the missing amount with the late payment fee within the one-month time limit set in the invitation(Form PCT/RO/133)will result in the international application being considered withdrawn.The RO/

230、EP will so declare(Form PCT/RO/117).Nevertheless,if the applicant pays the fees after the time limit set in the invitation expires(Form PCT/RO/133)but before the RO/EP has despatched the notification of withdrawal of the international application(Form PCT/RO/117),the payment is considered to have be

231、en received in time and the application will not be considered withdrawn.4.6 Fee for requesting restoration of priority right The fee for requesting restoration of priority right is paid for the benefit of the RO/EP and its amount is fixed by the EPO.It is to be paid within the same time limit as fo

232、r filing the request for restoration,which is two months from expiry of the priority period.The amount payable is the amount applicable on the date of receipt of the request for restoration.OJ EPO 2020,A57 Rule 16bis.2 OJ EPO 1992,383 Art.14(3)(a)Rule 16bis.1(e)Rule 26bis.3(d),(e)March 2024 PCT-EPO

233、Guidelines Part A Chapter III-5 5.Fees to be paid to the ISA/EP 5.1 Additional search fee The additional search fee paid in response to an invitation to pay additional fees after a finding of lack of unity(Form PCT/ISA/206,see GL/PCT-EPO B-VII,6.2)is collected directly by the EPO as International Se

234、arching Authority(ISA/EP)and its amount is fixed by the EPO.This fee is to be paid within one month from the date of the invitation.The amount payable is the amount applicable on the date of receipt of the international application.For any reductions that may apply,see GL/PCT-EPO A-III,8.2.1.The app

235、licant must also pay the ISA/EP an additional search fee(equal to the search fee)where the receiving Office notifies it of a correct element or part under Rule 20.5bis PCT after the start of the search and the applicant wants the search to be based on that correct element or part.This additional fee

236、 must be paid within one month from the date of the invitation to do so.No additional search fee is to be paid to the ISA/EP under R.40bis.1 PCT in the case of missing parts(R.20.5 PCT).5.2 Protest fee The protest fee is paid for the benefit of the ISA/EP and its amount is fixed by the EPO.It is to

237、be paid within one month from the date of the invitation to pay additional fees after the finding of lack of unity(Form PCT/ISA/206,see GL/PCT-EPO B-VII,6.3).The amount payable is the amount applicable on the date of payment.5.3 Fee for the late furnishing of sequence listings The late furnishing fe

238、e is paid for the benefit of the ISA/EP and its amount is fixed by the EPO.It is payable within one month from the date of the invitation to furnish the nucleotide and/or amino acid sequence listing(Form PCT/ISA/225,see GL/PCT-EPO B-VIII,3.2).The amount payable is the amount applicable on the date o

239、f payment.6.Fees to be paid if a SIS request is submitted To obtain a supplementary international search,the supplementary search handling fee and the supplementary search fee have to be paid to the IB in Swiss francs.6.1 Supplementary search handling fee The supplementary search handling fee is col

240、lected by the IB for its own benefit and its amount is fixed by the IB.The supplementary search handling fee is to be paid within one month from the date of receipt of the supplementary search request(Form PCT/IB/375).The amount payable is the amount applicable on the date of payment.For any reducti

241、ons that may apply,see GL/PCT-EPO A-III,8.3.6.2 Supplementary search fee The supplementary search fee is collected by the IB for the benefit of the EPO as Supplementary International Searching Authority(SISA/EP)and its amount is fixed by the EPO.It is to be paid within one month from the date Rule 4

242、0 Rule 40bis.1 Art.2(1)item 2 Rfees OJ EPO 2020,A81 Rule 40.2(e)Rule 13ter.1(c)OJ EPO 2023,A3 OJ EPO 2021,A96 and A97 Rule 45bis Rule 45bis.2 Rule 45bis.3 Art.2(1)RFees OJ EPO 2018,A4 Part A Chapter III-6 PCT-EPO Guidelines March 2024 of receipt of the supplementary search request(Form PCT/IB/375).T

243、he amount payable is the amount applicable on the date of payment.6.3 Review fee The review fee is collected by the SISA/EP for its own benefit and its amount is fixed by the EPO.It is to be paid within one month from the date of the notification of lack of unity of invention(see GL/PCT-EPO B-XII,10

244、.4).7.Fees to be paid to the IPEA/EP 7.1 Handling fee The handling fee is collected by the EPO as International Preliminary Examining Authority(IPEA/EP)for the benefit of the IB and its amount is fixed by the IB.It is to be paid within one month from the date on which the demand(Form PCT/IPEA/401)wa

245、s submitted or within 22 months from the priority date,whichever time limit expires later.The amount payable is the amount applicable on the date of payment.For any reductions that may apply,see GL/PCT-EPO A-III,8.3.If the handling fee is not fully paid within the prescribed time limit,the IPEA/EP p

246、roceeds as described under GL/PCT-EPO A-III,7.5.7.2 Preliminary examination fee The preliminary examination fee is collected by the IPEA/EP for its own benefit and its amount is fixed by the EPO.It is to be paid within one month from the date on which the demand(Form PCT/IPEA/401)was submitted or wi

247、thin 22 months from the priority date,whichever time limit expires later.The amount payable is the amount applicable on the date of payment.For any reductions that may apply,see GL/PCT-EPO A-III,8.4.If the preliminary examination fee is not fully paid within the prescribed time limit,the IPEA/EP pro

248、ceeds as described under GL/PCT-EPO A-III,7.5.7.2.1 Additional preliminary examination fee The additional preliminary examination fee paid in response to an invitation to pay additional examination fees after a finding of lack of unity(Form PCT/IPEA/405,see GL/PCT-EPO C-V,4.2)is collected by the IPE

249、A/EP and its amount is fixed by the EPO.It is to be paid within one month from the date of the invitation.The amount payable is the amount applicable on the date of payment.For any reductions that may apply,see GL/PCT-EPO A-III,8.4.1.Rule 45bis.6(c)Art.31(5)Rule 57 GL/ISPE 22.44 OJ EPO 2018,A101 Art

250、.31(5)Rule 58 Art.2(1)RFees OJ EPO 2018,A4 GL/ISPE 22.44 Rule 68.3 March 2024 PCT-EPO Guidelines Part A Chapter III-7 7.3 Protest fee The protest fee is paid for the benefit of the IPEA/EP and its amount is fixed by the EPO.It is payable within one month from the date of the invitation to pay additi

251、onal examination fees after a finding of lack of unity(Form PCT/IPEA/405,see GL/PCT-EPO C-V,4.3).The amount payable is the amount applicable on the date of payment.7.4 Fee for the late furnishing of sequence listings The late furnishing fee is paid for the benefit of the IPEA/EP and its amount is fi

252、xed by the EPO.It is payable within one month from the date of the invitation to furnish the nucleotide and/or amino acid sequence listing(Form PCT/IPEA/441,see GL/PCT-EPO C-VIII,2.1).The amount payable is the amount applicable on the date of payment.7.5 Late payment fee Where the IPEA/EP finds that

253、 the amount paid to it is insufficient to cover the handling fee and the international preliminary examination fee or that no fees were paid within the time limit for payment,the IPEA/EP invites the applicant to pay to it the amount required to cover those fees together with a late payment fee,withi

254、n one month from the date of the invitation(Form PCT/IPEA/440).The late payment fee is 50%of the amount of the unpaid fees as specified in the invitation or,if the resulting amount is less than the handling fee,an amount equal to the handling fee.The amount of the late payment fee may not,however,ex

255、ceed double the amount of the handling fee.If the applicant complies with the invitation within the specified time limit,payment is deemed to have been made in time(Form PCT/IPEA/440).If the applicant pays the fees after the time limit for payment expires but before the IPEA/EP has despatched the in

256、vitation(Form PCT/IPEA/440)to the applicant,the payment is considered to have been received in time.Failure to pay the missing amount and the late payment fee within the time limit set in the invitation(Form PCT/IPEA/440)will result in the demand being considered as if it had not been submitted,and

257、the EPO will so declare(Form PCT/IPEA/407).If the applicant pays the fees after the time limit set in the invitation expires(Form PCT/IPEA/440)but before the IPEA/EP has despatched the notification that the demand is considered not to have been submitted(Form PCT/IPEA/407),the payment is considered

258、to have been received in time and the demand will not be considered as if it had not been submitted.8.Reduction of fees 8.1 Reduction of the international filing fee If one or more of the reductions mentioned below apply,the reduced amount should be indicated on the Fee Calculation Sheet which forms

259、 part of the PCT request form(PCT/RO/101).Rule 68.3(e)Rule 13ter.2 OJ EPO 2023,A3 OJ EPO 2021,A96 and OJ EPO 2021,A97 Rule 58bis.1(a),58bis.2 OJ EPO 1998,282 Rule 58bis.1(c)Rule 58bis.1(b)Rule 58bis.1(d)Part A Chapter III-8 PCT-EPO Guidelines March 2024 8.1.1 Reduction for applications filed in elec

260、tronic form The amount of reduction of the international filing fee is set by the IB and is applicable on the date of receipt of the international application.For international applications submitted in electronic form,three different levels of reduction apply,depending on the format in which the ap

261、plication is filed,namely:8.1.1.1 Web-form filing(WFF)reduction This reduction applies if both the request form(PCT/RO/101)and the specification(description,claims and abstract)are filed in PDF.8.1.1.2 PDF reduction This reduction applies if the request form(PCT/RO/101)is filed in character-coded fo

262、rmat(XML),while the specification(description,claims and abstract)is filed in PDF.8.1.1.3 XML reduction This reduction applies if both the request form(PCT/RO/101)and the specification(description,claims and abstract)are filed in character-coded format(XML).8.1.2 Reductions for applicants from certa

263、in states The international filing fee is reduced by 90%if the requirements stipulated in point 5 of the PCT Schedule of Fees are met.For filings at the RO/EP,the reduction applies only if the applicant is a natural person who is a national of and resides in an EPC contracting state complying with t

264、he criteria under point 5(a)PCT Schedule of Fees(an updated list can be found in the Euro-PCT Guide,point 2.25.019).If the application is filed with the RO/EP by more than one applicant,only one of them needs to be a national and resident of one of the EPC contracting states in question,but each app

265、licant must fulfil the criteria mentioned under point 5 of the PCT Schedule of Fees.The 90%reduction is calculated after deduction of the electronic filing reduction,if applicable(see GL/PCT-EPO A-III,8.1.1).8.2 Reduction of the international search fee The fee for the international search on an int

266、ernational application is reduced by 75%where the applicant or,if there are two or more applicants,each applicant is a natural person who is a national and resident of a state not party to the EPC which on the date of filing of the application is classified as a low-income or lower-middle-income eco

267、nomy by the World Bank;or a natural or legal person who is a national and resident of a state in which a validation agreement with the EPO is in force.Point 4 PCT Schedule of Fees OJ EPO 2018,A101 Point 5 PCT Schedule of Fees OJ EPO 2020,A4 OJ EPO 2023,A67 R.18 PCT AG I 5.190 March 2024 PCT-EPO Guid

268、elines Part A Chapter III-9 The list of these states can be found on the EPO website under Reduction in international search and preliminary examination fees.8.2.1 Reduction of the additional search fee If the applicant fulfils the requirements for reduction of the international search fee,any addit

269、ional search fee is validly paid upon payment of the reduced amount.8.3 Reduction of the(supplementary search)handling fee The handling fee is reduced by 90%under the same conditions as for the international filing fee(see GL/PCT-EPO A-III,8.1.2).This principle also applies to the supplementary sear

270、ch handling fee due under Rule 45bis.2.8.4 Reduction of the preliminary examination fee The fee for international preliminary examination is reduced by 75%under the same conditions as for the reduction of the international search fee(GL/PCT-EPO A-III,8.2).8.4.1 Reduction of the additional preliminar

271、y examination fee If the applicant fulfils the requirements for reduction of the preliminary examination fee,any additional preliminary examination fee is validly paid upon payment of the reduced amount.9.Refund of fees Refunds are made to a deposit account held with the EPO or to a bank account.Sin

272、ce 1 April 2019 the EPO has no longer made refunds by cheque,and the EPO does not make refunds to credit cards.In general,the EPO will refund fees to any deposit account that the party to the proceedings before it indicates in its refund instructions.Parties are therefore also able to indicate a dep

273、osit account held by a third party.In the event of a discrepancy between the name of the deposit account holder and the account number indicated,the account number will prevail.Under the fee refund procedures applicable since 1 October 2019,up-to-date refund instructions must be filed in an electron

274、ically processable format(XML).If the EPO cannot make a refund to a deposit account held with it,the refund will be made to a bank account.In this case,the party will be invited to claim the refund via the EPO website.For accounts within the Single Euro Payments Area(SEPA),the only details required

275、will be the IBAN and the name of the account holder.For non-SEPA bank transfers,parties may need to provide more information depending on the country to which the refund is to be transferred.The EPO will pay the transfer fees.If parties would like all their refunds to be made to a deposit account he

276、ld with the EPO,they will have to submit separate refund instructions to that effect for all applications concerned.Refund instructions filed for an international application before the EPO as RO or as an International Authority under the PCT will apply only to refunds due in the international phase

277、.Detailed guidance on how and when to file refund instructions is provided in OJ EPO 2019,A82.OJ EPO 2020,A4 OJ EPO 2022,A18 OJ EPO 2019,A82 Part A Chapter III-10 PCT-EPO Guidelines March 2024 Fees paid by mistake or without cause(e.g.because the EPO is not the competent RO or IPEA)will be refunded.

278、Any amount paid in excess of the amount due is likewise refunded.Rights for the refunding of fees paid in excess extinguish after four years from the end of the calendar year in which the right originally arose,unless a written reasoned claim is filed.In addition,the following refunds may apply:9.1

279、Refund of the international filing fee The international filing fee is refunded where no date of filing can be accorded;or the application is withdrawn or considered withdrawn before its transmittal to the IB.9.2 Refund of the(additional)international search fee The international search fee is refun

280、ded where no date of filing can be accorded;or the international application is withdrawn or considered withdrawn before its transmittal to the ISA;or the international application is withdrawn or considered withdrawn before the start of the international search;or the EPO can base the ISR partly or

281、 entirely on an earlier search that it has performed on an application whose priority is validly claimed for the international application.The(additional)search fee paid will be refunded in part or in full depending upon the extent to which the EPO benefits from the earlier search.See also GL/PCT-EP

282、O B-IV,1.1.The EPO acting as ISA decides whether the requirements are met and,where applicable,refunds the applicable amount.No refund is made for any search other than a search carried out by the EPO on an earlier application from which the right of priority is validly claimed.The cases referred to

283、 below are intended to illustrate the most common situations:9.2.1 Examples of refunds 9.2.1.1 Full refund The full refund level applies where the EPO can make full use of the earlier search report for drawing up the international search report.This occurs,in particular,where the claims of the earli

284、er and the later application are identical or where the claims of the later application are Art.13(2),(3)Rfees OJ EPO 2023,A27 Rule 15.4 Rule 16.2 and 16.3 Rule 41 OJ EPO 2023,A5 OJ EPO 2009,99 PCT AG I 5.073 Agreement EPO-WIPO,Annex D-II,OJ EPO 2017,A115 OJ EPO 2020,A68 OJ EPO 2009,99,2.1 OJ EPO 20

285、23,A5 March 2024 PCT-EPO Guidelines Part A Chapter III-11 limited with respect to those of the earlier application,this limitation being due to(a)the deletion of alternative features from an independent claim or(b)the introduction of one or more limiting features into one or more of the independent

286、claims of the later application where the limiting feature(s)was/were all contained in a dependent claim referring back to said independent claim(s)in the earlier application.9.2.1.2 Partial refund The partial refund level applies where the EPO can make partial use of the earlier search report for d

287、rawing up the international search report.This occurs,in particular,where(a)the claims of the later application are broader than those of the earlier application and this broadening represents a further generalisation of the same invention as that searched in the earlier application,or(b)the claims

288、of the later application are limited with respect to those of the earlier application,due to a limiting feature not disclosed in the earlier application but relating to the same invention as that searched in the earlier application.The international search fee is refunded as follows:25%in the case o

289、f an earlier search with written opinion;17.5%in the case of an earlier search without a written opinion.9.2.1.3 No refund No refund is due(a)where the subject-matter claimed in the later application represents an invention different from that searched in the earlier application,or(b)the legal requi

290、rements for a refund are not fulfilled,for example where the priority of the earlier application is not validly claimed.9.3 Refund of additional search fees and,where applicable,the protest fee If the Review Panel finds that a protest was entirely justified,the additional search fees and the protest

291、 fee will be refunded.If it finds that the protest was justified only in part,the corresponding additional search fees will be refunded,but not the protest fee(see GL/PCT-EPO B-VII,7.2).OJ EPO 2009,99,2.2 OJ EPO 2023,A5 OJ EPO 2009,99,2.3 OJ EPO 2023,A5 Rule 40.2(c)and(e)Part A Chapter III-12 PCT-EP

292、O Guidelines March 2024 9.4 Refund of the supplementary search fee The EPO as SISA will refund the supplementary search fee where,before it has started the supplementary search,the supplementary search request is considered not to have been submitted;or before it has started the supplementary search

293、,the international application or the supplementary search request is withdrawn.9.5 Refund of the review fee If the Review Panel finds that the lack of unity objection was not justified,the review fee is refunded to the applicant(see GL/PCT-EPO B-XII,10.4).9.6 Refund of the handling fee Where the de

294、mand for international preliminary examination is withdrawn before it has been sent by the IPEA/EP to the IB,or where the demand is considered not to have been submitted,100%of the handling fee is refunded.9.7 Refund of the preliminary examination fee Where the international application or the deman

295、d for international preliminary examination is withdrawn before examination has commenced and within 30 months from the priority date,or where the demand is considered not to have been submitted,100%of the fee for international preliminary examination is refunded.9.8 Refund of additional examination

296、 fees and,where applicable,the protest fee If the Review Panel finds that a protest was entirely justified,the additional examination fees and the protest fee will be refunded.If it finds that the protest was justified only in part,the corresponding additional examination fees will be refunded,but n

297、ot the protest fee(see GL/PCT-EPO C-V,5.2).Rule 45bis.3(e)Agreement EPO-WIPO,Annex D-II,OJ EPO 2017,A115 OJ EPO 2020,A68 Rule 45bis.6(d)(iii)Rule 57.4 Rule 58.3 and 90bis.4(a)Agreement EPO-WIPO,Annex D-II,OJ EPO 2017,A115 OJ EPO 2020,A68 Rule 68.3(c)and(e)March 2024 PCT-EPO Guidelines Part A Chapter

298、 IV-1 Chapter IV Special provisions 1.PCT Direct service(see also GL/PCT-EPO B-IV,1.2)1.1 General remarks When filing an international application claiming priority from an earlier national,European or international application already searched by the EPO(i.e.a doublure;see GL/PCT-EPO B-IV,1.1),the

299、applicant may submit to any receiving Office informal comments aimed at reacting to the objections raised in the search opinion established by the EPO for the priority application.At the EPO,this service is called PCT Direct.Such informal comments are to be understood as arguments regarding the pate

300、ntability of the claims of the international application and also possibly as explanations regarding any modifications to the application documents,in particular to the claims,in comparison with the priority application.If the requirements under GL/PCT-EPO A-IV,1.2,are met,the informal comments will

301、 be taken into account by the EPO as ISA when it establishes the international search report and written opinion for the international application.For the processing of applications under the PCT Direct service by the EPO as ISA,see GL/PCT-EPO B-IV,1.2.1.2 Form of submissions Applicants may request

302、to have their international application processed under the PCT Direct service by filing a letter(PCT Direct letter)containing informal comments aimed at overcoming objections raised in the search opinion established by the EPO for the priority application.The earlier application from which priority

303、 is claimed must have been searched by the EPO(international,European or national first filing,but not an international-type search).The PCT Direct letter is to be presented as a separate document attached to the international application;it should be entitled PCT Direct/informal comments and clearl

304、y identify in the header the application number of the earlier application.The PCT Direct letter does not form part of the international application.If the claims and/or the description of the international application differ from the earlier application,preferably a marked-up copy indicating the di

305、fferences should be submitted.A copy of the earlier search opinion could also be annexed to the PCT Direct letter.It should be borne in mind that the letter,together with the annexed documents,will be made available to the public in accordance with the provisions on file inspection.The PCT Direct le

306、tter,any marked-up copy of the claims and/or description,as well as the earlier search opinion,if annexed,are to be submitted as a single document in PDF(not as a ZIP file)and indicated in Box IX of the PCT request form(Form PCT/RO/101).In particular,the words PCT Direct/informal comments should be

307、specified under point 11,other,for filings on paper.When filing in electronic form using the EPO Online Filing OJ EPO 2017,A21 Part A Chapter IV-2 PCT-EPO Guidelines March 2024 software,the PCT Direct letter needs to be attached as an accompanying item Applicant letter to ISA concerning earlier sear

308、ch(PCT Direct).For filings in electronic form using Online Filing 2.0 or WIPOs ePCT portal,the PCT Direct letter and any marked-up copy of the claims and/or description are to be uploaded under the section International Search Use of earlier search and classification results Availability of document

309、(s)to the ISA Other document(s)attached Add other Document by selecting Document Type Applicant letter to ISA concerning earlier search(PCT Direct).Irrespective of the online filing software used,the correct document is automatically reflected in the generated XML and PDF,which show in section IX-10

310、 the PCT Direct letter as an attachment under Other.Informal comments filed under PCT Direct must be self-contained.Third parties must be able to fully understand these comments as they stand.If explicit references are made to the search opinion for the first filing,that search opinion should be ann

311、exed to the international application.The reason for this requirement is that the search report,the search opinion or any other submissions that are part of the file of the earlier application may not be publicly available.1.3 Processing by the EPO as RO The PCT Direct letter and its annexes are tra

312、nsmitted to the EPO as ISA and to the IB,together with,respectively,the search copy and the record copy.The PCT Direct letter and its annexes are made available to the public via file inspection in the European Patent Register and on WIPOs PATENTSCOPE.For details on the procedure in the event of mis

313、sing indications or missing informal comments,see GL/RO 116F and 116G.For information on the procedure if informal comments are submitted after the filing of the international application,see GL/RO 116H.1.4 Processing by the EPO as ISA For the procedure followed by the EPO as ISA when assessing a PC

314、T Direct request,see GL/PCT-EPO B-IV,1.2.2.2.Withdrawals 2.1 General remarks Applicants may withdraw their international application,one or more designations,priority claims,their request for supplementary international search,their demand or any or all elections by filing a notice of withdrawal wit

315、hin the prescribed time limits.Any such withdrawal is free of charge.A notice of withdrawal must be signed by the applicant or,if there are two or more applicants,by all of them.It may instead be signed,on behalf of the applicant(s),by the duly appointed agent or common representative,but not by the

316、 deemed common representative under Rule 90.2(b).If the Rule 90bis.1 to 90bis.4 PCT AG I 11.048,11.050,11.056 and 11.060 Rule 90bis.5 OJ EPO 2004,305 March 2024 PCT-EPO Guidelines Part A Chapter IV-3 agent or the common representative has not yet been duly appointed,a power of attorney signed by all

317、 the applicants has to be submitted together with the notice of withdrawal;the requirement to submit a power of attorney to the EPO is not waived in such cases.If such a power of attorney is not filed together with the notice of withdrawal,the EPO will request the applicant(s)to submit one and the w

318、ithdrawal will take effect on the date of its receipt.If no power of attorney is received before the expiration of the time limit for filing a withdrawal,the request for withdrawal will not be processed.Moreover,the EPO will only process unqualified and unambiguous notices of withdrawal.If in doubt,

319、the EPO will seek clarification of the applicants or applicants intention before any action is undertaken.2.2 Withdrawal of the international application Applicants may address a notice of withdrawal of their international application to the IB,the RO or,where a demand has been filed,to the IPEA,and

320、 may do so at any time prior to the expiration of 30 months from the priority date.The EPO as RO or IPEA will mark the notice of withdrawal of the international application with the date on which it was received and promptly transmit it to the IB.For information on the refund of the international fi

321、ling fee in the event of withdrawal of the international application,see GL/PCT-EPO A-III,9.1;for information on the refund of the international search fee,see GL/PCT-EPO A-III,9.2.2.2.1 Conditional withdrawal Applicants may request the withdrawal of their international application on condition that

322、 the international publication can be prevented(conditional withdrawal).In such a case,the withdrawal does not become effective if the condition cannot be met,that is,if the IB has already completed the technical preparations for the international publication.It is recommended that conditional withd

323、rawals be submitted direct to the IB,especially if the date of completion of the technical preparations is imminent.2.3 Withdrawal of designations An applicant may address a notice of withdrawal of any designations to the IB,the RO or,where a demand has been filed,the IPEA,and may do so at any time

324、prior to the expiration of 30 months from the priority date.Withdrawal of the designation of all designated states is treated as withdrawal of the international application(see GL/PCT-EPO A-IV,2.2).Withdrawal of a designated state which has been elected entails withdrawal of the corresponding electi

325、on(see GL/PCT-EPO A-IV,2.6).If the withdrawal of a designation reaches the IB prior to completion of the technical preparations for publication,the designation in question is not published.J 11/80 Rule 90bis.1 PCT AI sections 326 and 609 GL/RO 318 Rule 90bis.2 Part A Chapter IV-4 PCT-EPO Guidelines

326、March 2024 2.4 Withdrawal of priority claims An applicant may address a notice of withdrawal of one or more priority claims to the IB,the RO or,where a demand has been filed,to the IPEA,and may do so at any time prior to the expiration of 30 months from the priority date.Where the priority date of t

327、he international application has changed following withdrawal of a priority claim,any time limit which is computed from the original priority date,and which has not already expired,is recomputed from the priority date resulting from that change.Time limits computed from the original priority date wh

328、ich have already expired are not reinstated(Rule 90bis.3(d).Nevertheless the IB may proceed with the international publication based on the original priority date if the notice of withdrawal of a priority claim reaches the IB after completion of the technical preparations for publication(Rule 90bis.

329、3(e).The EPO acting as RO or as IPEA will mark the notice of withdrawal with the date on which it was received and promptly transmit it to the IB.2.5 Withdrawal of the supplementary search request Applicants may withdraw their request for supplementary international search by addressing a notice of

330、withdrawal to either the IB or the authority specified for the supplementary search,and may do so at any time before transmittal by the SISA of the supplementary international search report or of the declaration that no such report will be established.The EPO as SISA will mark the notice of withdraw

331、al with the date on which it was received and promptly transmit it to the IB.For information on the refund of the supplementary international search fee by the EPO as SISA,see GL/PCT-EPO A-III,9.4.2.6 Withdrawal of the demand or of elections Applicants may withdraw their demand or any or all electio

332、ns by addressing a notice of withdrawal to the IB,and may do so at any time prior to the expiration of 30 months from the priority date.The withdrawal takes effect on the date of receipt of the notice by the IB,the IPEA being notified of that date.If the applicant nevertheless submits the notice of

333、withdrawal to the IPEA,the IPEA will mark the date of receipt on the notice and transmit it promptly to the IB.The notice is considered to have been submitted to the IB on the date marked by the IPEA.Where the demand or all elections are withdrawn,the IPEA is notified of the withdrawal by the IB and the processing of the international application by the IPEA is discontinued.The demand or the copy