PATENT COOPERATION TREATY (PCT) - wipo.int

1 E PCT/GL/ISPE/7 ORIGINAL: ENGLISH DATE: June 25, 2018 PATENT COOPERATION TREATY (PCT) PCT INTERNATIONAL SEARCH AND PRELIMINARY EXAMINATION GUIDELINES (Guidelines for the Processing by International Searching and Preliminary Examining Authorities of International Applications Under the PATENT COOPERATION TREATY ) as in force from July 1, 2018 1. This document contains the text, as in force from July 1, 2018 of the PCT International Search and Preliminary Examination Guidelines, established by the International Bureau of wipo after consultation with the International Searching and Preliminary Examining Authorities under the PCT.

2 2. The Guidelines replace the PCT International Search and Preliminary Examination Guidelines (PCT/GL/ISPE/6), as in force from July 1, 2017. PCT/GL/ISPE/7 Page 2 PCT INTERNATIONAL SEARCH AND PRELIMINARY EXAMINATION GUIDELINES (as in force from July 1, 2018) TABLE OF CONTENTS PART I INTRODUCTION AND OVERVIEW Paragraphs Chapter 1 Introduction Purpose and Status of These Guidelines Arrangement and Terminology of These Guidelines Overview of International Application Process The International Phase The National (or Regional)

3 Phase The International Authorities Flowchart of Typical International Application Processing Chapter 2 Overview of the International Search Stage Objectives Preliminary Matters Receipt of Search Copy from Receiving Office Acknowledgement and Allocation by the International Searching Authority The International Search Process Time Limit for Establishing International Search Report Transmittal of the International Search Report, Written Opinion, etc. Options Open to the Applicant Further Processing of the International Search Report and Written Opinion Confidential Treatment Publication of the Search Report and Making Available of the Written Opinion of the International Searching Authority International Preliminary Report on Patentability (Chapter 1 of the PCT)

4 (When no Demand Is Filed Copies of Documents Cited in Search Report Supplementary International Searches International-Type Searches Chapter 3 Overview of the International Preliminary Examination Stage Introduction Preliminary Matters Filing of Demand Checking of Demand and Notification of Receipt Commencement of International Preliminary Examination The International Preliminary Examination Process Basis of the Written Opinion or International Preliminary Examination Report PCT/GL/ISPE/7 Page 3 Further Consideration Nature of the International Preliminary Examination Report Time Limit for Establishing the International Preliminary Examination Report Transmittal of the International Preliminary Examination Report Further Processing of the International Preliminary Examination Report Confidential Treatment Making Available of the International Preliminary Examination Report Transmission of the International Preliminary Examination Report to)

5 Elected Offices Translation of International Preliminary Examination Report Copies of Documents Cited in International Preliminary Examination Report PART II THE INTERNATIONAL APPLICATION Chapter 4 Content of the International Application (Other Than the Claims) General Description Technical Field Background Art Disclosure of Invention Brief Description of Drawings Best Mode for Carrying Out the Invention Structure and Function Sufficiency Industrial Applicability Nucleotide and/or Amino Acid Sequence Listings Deposit of Biological Material - References to Deposited Microorganisms or Other Biological Material as Part of the Description Requirements as to the Language of Sheets Containing References to Deposited

6 Microorganisms or Other Biological Material General Drawings Expressions, Etc., Not to Be Used Appendix to Chapter 4 Background Art Chapter 5 Claims General Form and Content of Claims Kinds of claim Categories Independent and Dependent Claims Interpretation of Claims Use Claims Preamble Open and Closed Claims Means-Plus-Function Claims Product-by-Process Claims Product and Apparatus Limitations in Process Claims Inconsistency Between Claims and Description PCT/GL/ISPE/7 Page 4 Clarity Clarity of Relative

7 Terms Clarity of Other Terms Conciseness, Number of Claims Support in Description Clear and Complete Disclosure of Claimed Invention Sufficiency Commensurate with the Claims Relationship of Claims to Disclosure Appendix to Chapter 5 Multiple Dependent Claims Interpretation of Claims Use Claims Product by Process Claims Conciseness Chapter 6 Priority The Right to Priority Determining Priority Dates Claiming Priority Chapter 7 Classification of International Applications Definition Definitive

8 Classification of the International Application Multiple Classifications Classification of Disclosure as Filed Amended Classification in the Case of Later Published International Search Report Classification When Scope Is Obscure Lack of Unity of Invention Classification of International Applications Excluded from International Search Chapter 8 Rule 91 Obvious Mistakes in Documents Mistakes that Cannot be Rectified Under Rule 91 Missing Elements or Sheets Correction of Priority Claims Transmittal to Another Authority of a Request for Rectification Invitation to the Applicant to Request Rectification Submission and Processing of a Request for Rectification Authorization and Effect of Rectifications Effective Date of Rectification PART III EXAMINER CONSIDERATIONS COMMON TO BOTH THE INTERNATIONAL SEARCHING AUTHORITY AND THE INTERNATIONAL PRELIMINARY EXAMINING AUTHORITY Chapter 9 Exclusions from, and Limitations of.

9 International Search and International Preliminary Examination Introduction Excluded Subject Matter Scientific and Mathematical Theories PCT/GL/ISPE/7 Page 5 Plant or Animal Varieties or Essentially Biological Processes for the Production of Plants and Animals, Other Than Microbiological Processes Schemes, Rules or Methods of Doing Business, Performing Purely Mental Acts or Playing Games Methods for Treatment of the Human or Animal Body by Surgery or Therapy; Diagnostic Methods Practiced on the Human or Animal Body Mere Presentations of Information Computer Programs, to the Extent That the Authority is not Equipped to Carry Out Search or Preliminary Examination on Such Programs General Considerations in Assessing the Nature of the Subject Matter Form of Claims Excluded Matter in Only Some Claims Cases of Doubt Extent of Search and Preliminary Examination in Certain Situations Examples Where Search or Preliminary Examination Possible.

10 With an Indication in the Written Opinion Examples of Exceptional Situations Where no Search at All is Possible for All or Some of the Claims Non-Prior-Art Issues Industrial Applicability Informal Clarification Unclear Claims Perpetual Motion Sequence Listings Declaration of Non-Establishment of International Search Report Multiple Dependent Claims Supplementary International Search Appendix to Chapter 9 Excluded Subject Matter Regarding Schemes, Rules or Methods of Doing Business, Performing Purely Mental Acts or Playing Games Excluded Subject Matter Pertaining to Programs for Computers Chapter 10 Unity of Invention Determination of Unity of Invention Illustrations of Particular Situations Combinations of Different Categories of Claims Markus