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PCT REQUEST The undersigned requests that the present (World Intellectual Property Organization)

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Box No. II APPLICANT
Box No. I TITLE OF INVENTION
PCT
The undersigned requests that the present
international application be processed
according to the Patent Cooperation Treaty.
REQUEST
Applicant’s or agent’s fi le reference (if desired) (25 characters maximum)
For receiving Offi ce use only
International Application No.
International Filing Date
Name of receiving Offi ce and “PCT International Application”
Name and address:
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if no State of residence is indicated below.)
This person is also inventor
This person is applicant
for the purposes of:
all designated States
the States indicated in the Supplemental Box
State (that is, country) of residence:
State (that is, country) of nationality:
Box No. III FURTHER APPLICANT(S) AND/OR (FURTHER) INVENTOR(S)
Box No. IV AGENT OR COMMON REPRESENTATIVE; OR ADDRESS FOR CORRESPONDENCE
The person identifi ed below is hereby/has been appointed to act on behalf
of the applicant(s) before the competent International Authorities as:
Name and address:
Further applicants and/or (further) inventors are indicated on a continuation sheet.
agent
common
representative
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country.)
See Notes to the request form
Form PCT/RO/101 (fi rst sheet) (July 2020)
Address for correspondence: Mark this check-box where no agent or common representative is/has been appointed and the
space above is used instead to indicate a special address to which correspondence should be sent.
Telephone No.
Agent’s registration No. with the Offi ce
Facsimile No.
Telephone No.
Applicant’s registration No. with the Offi ce
Facsimile No.
E-mail authorization: Marking one of the check-boxes below authorizes the receiving Offi ce, the International Searching Authority, the
International Bureau and the International Preliminary Examining Authority to use the e-mail address indicated in this Box to send notifi cations
issued in respect of this international application to that e-mail address if those offi ces are willing to do so.
E-mail address:
as advance copies followed by paper notifi cations; or
exclusively in electronic form (no paper notifi cations will be sent).
E-mail authorization: Marking one of the check-boxes below authorizes the receiving Offi ce, the International Searching Authority, the
International Bureau and the International Preliminary Examining Authority to use the e-mail address indicated in this Box to send notifi cations
issued in respect of this international application to that e-mail address if those offi ces are willing to do so.
E-mail address:
as advance copies followed by paper notifi cations; or
exclusively in electronic form (no paper notifi cations will be sent).
Form PCT/RO/101 (continuation sheet) (July 2020)
See Notes to the request form
State
(
that is, country
)
of nationality: State
(
that is, country
)
of residence:
State (that is, country) of nationality: State
(
that is, country
)
of residence:
Name and address:
State
(
that is, country
)
of nationality: State
(
that is, country
)
of residence:
State
(
that is, country
)
of nationality: State
(
that is, countr
y)
of residence:
Name and address:
Name and address:
Sheet No. . . . . . . .
Box No. III FURTHER APPLICANT(S) AND/OR (FURTHER) INVENTOR(S)
If none of the following sub-boxes is used, this sheet should not be included in the request.
Further applicants and/or (further) inventors are indicated on another continuation sheet.
Name and address:
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if no State of residence is indicated below.)
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if no State of residence is indicated below.)
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if no State of residence is indicated below.)
(Family name followed by given name; for a legal entity, full offi cial designation.
The address must include postal code and name of country. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if no State of residence is indicated below.)
Applicant’s registration No. with the Offi ce
inventor only (If this check-box
is marked, do not fi ll in below.)
applicant and inventor
This person is:
applicant only
Applicant’s registration No. with the Offi ce
inventor only (If this check-box
is marked, do not fi ll in below.)
applicant and inventor
This person is:
applicant only
Applicant’s registration No. with the Offi ce
inventor only (If this check-box
is marked, do not fi ll in below.)
applicant and inventor
This person is:
applicant only
Applicant’s registration No. with the Offi ce
inventor only (If this check-box
is marked, do not fi ll in below.)
applicant and inventor
This person is:
applicant only
This person is applicant
for the purposes of:
all designated States
the States indicated in the Supplemental Box
This person is applicant
for the purposes of:
all designated States
the States indicated in the Supplemental Box
This person is applicant
for the purposes of:
all designated States
the States indicated in the Supplemental Box
This person is applicant
for the purposes of:
all designated States
the States indicated in the Supplemental Box
Sheet No. . . . . . . .
Supplemental Box If the Supplemental Box is not used, this sheet should not be included in the request.
See Notes to the request form
Form PCT/RO/101 (supplemental sheet) (July 2020)
1. If, in any of the Boxes, except Boxes Nos. VIII(i) to (v) for
which a special continuation box is provided, the space is
insuffi cient to furnish all the information: in such case,
write “Continuation of Box No....” (indicate the number of
the Box) and furnish the information in the same manner as
required according to the captions of the Box in which the
space was insuffi cient, in particular:
(i) if more than one person is to be indicated as applicant and/
or inventor and no “continuation sheet” is available: in such
case, write “Continuation of Box No. III” and indicate for each
additional person the same type of information as required
in Box No. III. The country of the address indicated in this
Box is the applicant’s State (that is, country) of residence if
no State of residence is indicated below;
(ii) if, in Box No. II or in any of the sub-boxes of Box No. III,
the indication “the States indicated in the Supplemental
Box” is checked: in such case, write “Continuation of Box
No. II” or “Continuation of Box No. III” or “Continuation
of Boxes No. II and No. III” (as the case may be), indicate
the name of the applicant(s) involved and, next to (each)
such name, the State(s) (and/or, where applicable, ARIPO,
Eurasian, European or OAPI patent) for the purposes of
which the named person is applicant;
(iii) if, in Box No. II or in any of the sub-boxes of Box No. III,
the inventor or the inventor/applicant is not inventor for
the purposes of all designated States: in such case, write
“Continuation of Box No. II” or “Continuation of Box No.
III” or “Continuation of Boxes No. II and No. III” (as the
case may be), indicate the name of the inventor(s) and, next
to (each) such name, the State(s) (and/or, where applicable,
ARIPO, Eurasian, European or OAPI patent) for the purposes
of which the named person is inventor;
(iv) if, in addition to the agent(s) indicated in Box No. IV, there
are further agents: in such case, write “Continuation of
Box No. IV” and indicate for each further agent the same
type of information as required in Box No. IV;
(v) if, in Box No. VI, there are more than three earlier
applications whose priority is claimed: in such case, write
“Continuation of Box No. VI” and indicate for each additional
earlier application the same type of information as required
in Box No. VI.
2. If the applicant intends to make an indication of the wish that
the international application be treated, in certain designated
States, as an application for a patent of addition, certifi cate of
addition, inventor’s certifi cate of addition or utility certifi cate
of addition: in such case, write the name or two-letter code of
each designated State concerned and the indication “patent
of addition,” “certifi cate of addition,” “inventor’s certifi cate
of addition” or “utility certifi cate of addition,” the number of
the parent application or parent patent or other parent grant
and the date of grant of the parent patent or other parent grant
or the date of fi ling of the parent application (Rules 4.11(a)
(i) and 49bis.1(a) or (b)).
3. If the applicant intends to make an indication of the wish
that the international application be treated, in the United
States of America, as a continuation or continuation-in-part
of an earlier application: in such case, write “United States
of America” or “US” and the indication “continuation” or
“continuation-in-part
” and the number and the fi ling date
of the parent application (Rules 4.11(a)(ii) and 49bis.1(d)).
Box No. VI PRIORITY CLAIM AND DOCUMENT
Sheet No. . . . . . . .
Filing date
of earlier application
(day/month/year)
Where earlier application is:
international application:
receiving Offi ce
item (1)
regional application:
regional Offi ce
item (2)
item (3)
Number
of earlier application
national application:
country or Member
of WTO
The priority of the following earlier application(s) is hereby claimed:
See Notes to the request form
Form PCT/RO/101 (second sheet) (July 2020)
Further priority claims are indicated in the Supplemental Box.
Box No. V DESIGNATIONS
The fi ling of this request constitutes under Rule 4.9(a) the designation of all Contracting States bound by the PCT on the international
fi ling date, for the grant of every kind of protection available and, where applicable, for the grant of both regional and national patents.
However,
DE Germany is not designated for any kind of national protection
JP Japan is not designated for any kind of national protection
KR Republic of Korea is not designated for any kind of national protection
(The check-boxes above may only be used to exclude (irrevocably) the designations concerned if, at the time of fi ling or subsequently
under Rule 26bis.1, the international application contains in Box No. VI a priority claim to an earlier national application fi led in the
particular State concerned, in order to avoid the ceasing of the eff ect, under the national law, of this earlier national application.)
Incorporation by reference: where an element of the international application referred to in Article 11(1)(iii)(d) or (e) or a part of
the description, claims or drawings referred to in Rule 20.5(a), or an element or part of the description, claims or drawings referred
to in Rule 20.5bis(a) is not otherwise contained in this international application but is completely contained in an earlier application
whose priority is claimed on the date on which one or more elements referred to in Article 11(1)(iii) were fi rst received by the receiving
Offi ce, that element or part is, subject to confi rmation under Rule 20.6, incorporated by reference in this international application for
the purposes of Rule 20.6.
The International Bureau is requested to obtain from a digital library a certifi ed copy of the earlier application(s) identifi ed above,
using, where applicable, the access code(s) indicated below (if the earlier application(s) is available to it from a digital library):
item (1)
item (2)
item (3)
Choice of International Searching Authority (ISA) (if more than one International Searching Authority is competent to carry out the
international search, indicate the Authority chosen; the two-letter code may be used):
Box No. VII INTERNATIONAL SEARCHING AUTHORITY
ISA/ _______________________________________________________________________________________________________
other, see
Supplemental Box
Restore the right of priority: the receiving Offi ce is requested to restore the right of priority for the earlier application(s) identifi ed
above or in the Supplemental Box as item(s) (_________________________________). (See also the Notes to Box No. VI; further
information must be provided to support a request to restore the right of priority.)
access code _______________
access code _______________ access code _______________
The receiving Offi ce is requested to prepare and transmit to the International Bureau a certifi ed copy of the earlier application(s)
(only if the earlier application(s) was fi led with the receiving Offi ce which, for the purposes of this international application, is
the receiving Offi ce) identifi ed above as:
item (1)
item (2)
item (3)
all items
other, see Supplemental Box
Furnishing the priority document(s):
Sheet No. . . . . . . .
Box No. VIII DECLARATIONS
Filing date (day/month/year) Application Number Country (or regional Offi ce)
Box No. VIII (i) Declaration as to the identity of the inventor :
Box No. VIII (ii) Declaration as to the applicant’s entitlement, as at the international fi ling
date, to apply for and be granted a patent :
Box No. VIII (iii) Declaration as to the applicant’s entitlement, as at the international fi ling
date, to claim the priority of the earlier application :
Box No. VIII (iv) Declaration of inventorship (only for the purposes of the designation of the
United States of America) :
Box No. VIII (v) Declaration as to non-prejudicial disclosures or exceptions to lack of novelty :
1.1 The ISA indicated in Box No. VII is requested to take into account the results of the earlier search(es) indicated
below (see also Notes to Continuation of Box No. VII, item 1; use of results of more than one earlier search)
The following declarations are contained in Boxes Nos. VIII (i) to (v) (mark the applicable Number of
check-boxes below and indicate in the right column the number of each type of declaration): declarations
See Notes to the request form
Form PCT/RO/101 (third sheet) (July 2020)
Continuation of Box No. VII USE OF EARLIER SEARCH AND CLASSIFICATION RESULTS
Statement (Rule 4.12(ii)): this international application is the same, or substantially the same, as the application in respect of
which the earlier search was carried out except, where applicable, that it is fi led in a diff erent language.
1.2 Submission of the earlier search results, where necessary*
Availability of documents (Rules 12bis.1(c) and (d) and 12bis.2(b)): the following documents are available to the ISA in a
form and a manner acceptable to it, and therefore DO NOT need to be submitted by the applicant to the receiving Offi ce, or to
the ISA.
a copy of the results of the earlier search,
a copy of the earlier application,
a translation of the earlier application into a language which is accepted by the ISA,
a translation of the results of the earlier search into a language which is accepted by the ISA,
a copy of any document cited in the earlier search results (if known, please indicate below the documents available to the ISA):
Request from the applicant to the receiving Offi ce to transmit to the ISA a copy of the earlier search results (Rule 12bis.1(b)
and (d)): (where the earlier search was not carried out by the ISA indicated in Box No. VII but by the same Offi ce as that which
is acting as receiving Offi ce; or where the earlier search results are otherwise available to the receiving Offi ce): the applicant
requests the receiving Offi ce to prepare and transmit to the ISA a copy of the earlier search results.
* The applicant only needs to furnish a copy of the earlier search results to the receiving Offi ce, or the ISA, if none of the scenarios
mentioned under item 1 applies. (See item 10 in the check-list and also Notes to Continuation of Box No. VII, item 1).
Further earlier searches are indicated on a continuation sheet.
2.1 Where the international application claims priority of an earlier application, subject to Article 30(2)(a) and (3), the receiving Offi ce:
– shall transmit a copy of the earlier search and classifi cation results to the ISA (unless such copy is already available to the ISA),
where the earlier application was fi led with the same Offi ce as that which is acting as the receiving Offi ce and that Offi ce has
carried out the earlier search in respect of the earlier application (Rule 23bis.2(a));
– may transmit such a copy if the earlier application was fi led with a diff erent Offi ce, but where the results of that earlier search
and classifi cation are nevertheless available to the receiving Offi ce (Rule 23bis.2(c)).
However, where the applicant did not request the receiving Offi ce to transmit to the ISA a copy of the earlier search results under
Rule 4.12 (see above item 1), in respect of an earlier search carried out on the following earlier application, the priority of which is
subsequently claimed in this international application, the applicant may consider (see also Notes to Continuation of Box No. VII,
item 2; use of more than one earlier search):
Filing date (day/month/year) Application Number Country (or regional Offi ce)
2.2 Request not to transmit the earlier search results by the receiving Offi ce to the ISA (Rule 23bis.2(b))
to request that the receiving Offi ce DOES NOT transmit the results of the earlier search to the ISA (Rule 23bis.2(b)) (may only
be checked where the international application is fi led with the following receiving Offi ces: DE, FI and SE)
2.3 Authorization to transmit the earlier search and classifi cation results by the receiving Offi ce to the ISA (Rule 23bis.2(a) and (e))
to authorize the receiving Offi ce to transmit the results of the earlier search and classifi cation to the ISA (Rule 23bis
.2(e)) (may
only be checked where the international application is fi led with the following receiving Offi ces: AU, CZ, FI, HU, IL, JP, NO, SE,
SG and US)
to authorize the receiving Offi ce to transmit the results of the earlier international search and classifi cation to the ISA (Rule 23bis.2(a)
and Article 30(2)(a) and (3)) (may only be checked where the earlier search concerns an international application, the priority
of which is subsequently claimed in this international application and where the earlier international search was carried out by a
diff erent ISA than the ISA chosen in Box No. VII)
Further earlier searches are indicated on a continuation sheet.
2. Transmission of the earlier search and classifi cation results to the ISA by the receiving Offi ce where the applicant DID NOT
make a request under Rule 4.12
1. Request by the applicant under Rule 4.12
Sheet No. . . . . . . .
Box No. VIII (i) DECLARATION: IDENTITY OF THE INVENTOR
See Notes to the request form
Form PCT/RO/101 (declaration sheet (i)) (July 2020)
Declaration as to the identity of the inventor (Rules 4.17(i) and 51bis.1(a)(i)):
The declaration must conform to the standardized wording provided for in Section 211; see Notes to Boxes Nos. VIII, VIII (i) to (v) (in
general) and the specifi c Notes to Box No.VIII (i). If this Box is not used, this sheet should not be included in the request.
This declaration is continued on the following sheet, “Continuation of Box No. VIII (i)”.
Sheet No. . . . . . . .
Box No. VIII (ii) DECLARATION: ENTITLEMENT TO APPLY FOR AND BE GRANTED A PATENT
See Notes to the request form
Form PCT/RO/101 (declaration sheet (ii)) (July 2020)
Declaration as to the applicant’s entitlement, as at the international fi ling date, to apply for and be granted a patent (Rules 4.17(ii)
and 51bis.1(a)(ii)), in a case where the declaration under Rule 4.17(iv) is not appropriate:
The declaration must conform to the standardized wording provided for in Section 212; see Notes to Boxes Nos. VIII, VIII (i) to (v) (in
general) and the specifi c Notes to Box No.VIII (ii). If this Box is not used, this sheet should not be included in the request.
This declaration is continued on the following sheet, “Continuation of Box No. VIII (ii)”.
Sheet No. . . . . . . .
Box No. VIII (iii) DECLARATION: ENTITLEMENT TO CLAIM PRIORITY
See Notes to the request form
Form PCT/RO/101 (declaration sheet (iii)) (July 2020)
Declaration as to the applicant’s entitlement, as at the international fi ling date, to claim the priority of the earlier application specifi ed
below, where the applicant is not the applicant who fi led the earlier application or where the applicant’s name has changed since the
fi ling of the earlier application (Rules 4.17(iii) and 51bis.1(a)(iii)):
The declaration must conform to the standardized wording provided for in Section 213; see Notes to Boxes Nos. VIII, VIII (i) to (v) (in
general) and the specifi c Notes to Box No.VIII (iii). If this Box is not used, this sheet should not be included in the request.
This declaration is continued on the following sheet, “Continuation of Box No. VIII (iii)”.
Sheet No. . . . . . . .
Box No. VIII (iv)
DECLARATION: INVENTORSHIP (only for the purposes of the designation of the United States of
America)
See Notes to the request form
Form PCT/RO/101 (declaration sheet (iv)) (July 2020)
Declaration of inventorship (Rules 4.17(iv) and 51bis.1(a)(iv))
for the purposes of the designation of the United States of America:
I hereby declare that I believe I am the original inventor or an original joint inventor of a claimed invention in the application.
This declaration is directed to the international application of which it forms a part (if fi ling declaration with application).
This declaration is directed to international application No. PCT/ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (if furnishing declaration pursuant
to Rule 26ter).
I hereby declare that the above-identifi ed international application was made or authorized to be made by me.
I hereby acknowledge that any willful false statement made in this declaration is punishable under 18 U.S.C. 1001 by fi ne or imprisonment
of not more than fi ve (5) years, or both.
Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Residence: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(city and either US state, if applicable, or country)
Mailing Address: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Inventor’s Signature: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(The signature must be that of the inventor, not that of the agent)
Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Residence: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(city and either US state, if applicable, or country)
Mailing Address: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Inventor’s Signature: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(The signature must be that of the inventor, not that of the agent)
Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Residence: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(city and either US state, if applicable, or country)
Mailing Address: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Inventor’s Signature: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(The signature must be that of the inventor, not that of the agent)
The declaration must conform to the following standardized wording provided for in Section 214; see Notes to Boxes Nos. VIII, VIII
(i) to (v) (in general) and the specifi c Notes to Box No.VIII (iv). If this Box is not used, this sheet should not be included in the request.
This declaration is continued on the following sheet, “Continuation of Box No. VIII (iv)”.
Sheet No. . . . . . . .
Box No. VIII (v) DECLARATION: NON-PREJUDICIAL DISCLOSURES OR EXCEPTIONS TO LACK OF NOVELTY
See Notes to the request form
Form PCT/RO/101 (declaration sheet (v)) (July 2020)
Declaration as to non-prejudicial disclosures or exceptions to lack of novelty (Rules 4.17(v) and 51bis.1(a)(v)):
The declaration must conform to the standardized wording provided for in Section 215; see Notes to Boxes Nos. VIII, VIII (i) to (v) (in
general) and the specifi c Notes to Box No.VIII (v). If this Box is not used, this sheet should not be included in the request.
This declaration is continued on the following sheet, “Continuation of Box No. VIII (v)”.
Sheet No. . . . . . . .
Continuation of Box No. VIII (i) to (v) DECLARATION
See Notes to the request form
Form PCT/RO/101 (continuation sheet for declaration) (July 2020)
If the space is insuffi cient in any of Boxes Nos. VIII (i) to (v) to furnish all the information, including in the case where more than three
inventors are to be named in Box No. VIII (iv), in such case, write “Continuation of Box No. VIII ...” (indicate the item number of the
Box) and furnish the information in the same manner as required for the purposes of the Box in which the space was insuffi cient. If
additional space is needed in respect of two or more declarations, a separate continuation box must be used for each such declaration.
If this Box is not used, this sheet should not be included in the request.
See Notes to the request form
Form PCT/RO/101 (last sheet – paper) (July 2020)
Sheet No. . . . . . . .
1. Date of actual receipt of the purported
international application:
3.
Corrected date of actual receipt due to later but
timely received papers or drawings completing
the purported international application:
For International Bureau use only
For receiving Offi ce use only
5. International Searching Authority
(if two or more are competent):
4. Date of timely receipt of the required
corrections under PCT Article 11(2):
Date of receipt of the record copy
by the International Bureau:
6. Transmittal of search copy delayed
until search fee is paid
2. Drawings:
received:
not received:
This international application Number
contains the following: of sheets
(a) request form
PCT/RO/101
(including any
declarations and
supplemental
sheets) . . . . . . . . . . . . . . . . . . . . . . :
(b) description
(excluding any
sequence listing
part of the
description,
see (f), below) . . . . . . . . . . . . . . . . :
(c) claims . . . . . . . . . . . . . . . . . . . . . . :
(d) abstract . . . . . . . . . . . . . . . . . . . . . :
(e) drawings (if any) . . . . . . . . . . . . . . :
(f) sequence listing
part of the
description (if any) . . . . . . . . . . . . :
Total number of sheets :
1. fee calculation sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
2. original separate power of attorney . . . . . . . . . . . . . . . . :
3. original general power of attorney . . . . . . . . . . . . . . . . . . :
4. copy of general power of attorney; reference
number: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
5. priority document(s) identifi ed in Box No. VI
as item(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
6. Translation of international application into
(language): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
7. separate indications concerning deposited
microorganism or other biological material . . . . . . . . . . :
8. (only where item (f) is marked in the left column)
copy in electronic form (Annex C/ST.25 text fi le) on
physical data carrier(s) of the sequence listing, not forming
part of the international application, which is furnished only
for the purposes of international search under Rule 13ter
(type and number of physical data carriers) . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
9. (only where item (f) (in the left column) and item 8 (above)
are marked) a statement confi rming that “the information
recorded in electronic form submitted under Rule 13ter
is identical to the sequence listing as contained in the
international application” as fi led on paper . . . . . . . . . . . . :
10. copy of results of earlier search(es) (Rule 12bis.1(a)) . . . :
11. other (specify): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
This international application is accompanied by the Number
following item(s) (mark the applicable check-boxes below of items
and indicate in right column the number of each item):
Box No. IX
CHECK LIST for PAPER fi lings – this sheet is only to be used when fi ling an international application on PAPER
Box No. X SIGNATURE OF APPLICANT, AGENT OR COMMON REPRESENTATIVE
Next to each signature, indicate the name of the person signing and the capacity in which the person signs (if such capacity is not obvious from reading the request).
Figure of the drawings which
should accompany the abstract:
Language of fi ling of the
international application:
0
See Notes to the request form
Form PCT/RO/101 (last sheet – EFS) (July 2020)
Sheet No. . . . . . . .
1. Date of actual receipt of the purported
international application:
3.
Corrected date of actual receipt due to later but
timely received papers or drawings completing
the purported international application:
For International Bureau use only
For receiving Offi ce use only
5. International Searching Authority
(if two or more are competent):
4. Date of timely receipt of the required
corrections under PCT Article 11(2):
Date of receipt of the record copy
by the International Bureau:
6. Transmittal of search copy delayed
until search fee is paid
2. Drawings:
received:
not received:
Box No. IX
CHECK LIST for EFS-Web fi lings - this sheet is only to be used when fi ling an international application with RO/US via EFS-Web
Box No. X SIGNATURE OF APPLICANT, AGENT OR COMMON REPRESENTATIVE
Next to each signature, indicate the name of the person signing and the capacity in which the person signs (if such capacity is not obvious from reading the request).
Figure of the drawings which
should accompany the abstract:
Language of fi ling of the
international application:
This international application Number
contains the following: of sheets
(a) request form PCT/RO/101
(including any declarations
and supplemental sheets) . . . . . . . . :
(b) description (excluding any
sequence listing part of the
description, see (f), below) . . . . . . . :
(c) claims . . . . . . . . . . . . . . . . . . . . . . . :
(d) abstract . . . . . . . . . . . . . . . . . . . . . . :
(e) drawings (if any) . . . . . . . . . . . . . . . :
(f) sequence listing part of the
description in the form of an
image fi le (e.g. PDF) . . . . . . . . . . . :
Total number of sheets (including the
sequence listing part of the description
if fi led as an image fi le) . . . . . . . . . . . . :
(g) sequence listing part of the description
fi led in the form of an Annex C/ST.25 text
fi le
WILL BE fi led separately on physical data
carrier(s), on the same day and in the form
of an Annex C/ST.25 text fi le
Indicate type and number of physical data
carrier(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1. fee calculation sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
2. original separate power of attorney . . . . . . . . . . . . . . . . :
3. original general power of attorney . . . . . . . . . . . . . . . . . . :
4. copy of general power of attorney; reference
number: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
5. priority document(s) identifi ed in Box No. VI
as item(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
6. Translation of international application into
(language): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
7. separate indications concerning deposited
microorganism or other biological material . . . . . . . . . . :
8. (only where item (f) is marked in the left column)
copy of the sequence listing in electronic form
(Annex C/ST.25 text fi le) not forming part of
the international application but furnished only
for the purposes of international search under
Rule 13ter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
9. (only where item (f) (in the left column) and item 8 (above)
are marked) a statement confi rming that “the information
recorded in electronic form submitted under Rule 13ter
is identical to the sequence listing as contained in the
international application” as fi led via EFS-Web: . . . . . . . :
10. copy of results of earlier search(es) (Rule 12bis.1(a)) . . . :
11. other (specify): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . :
This international application is accompanied by the Number
following item(s) (mark the applicable check-boxes below of items
and indicate in right column the number of each item):
0
Notes to the request form (PCT/RO/101) (page 1) (July 2020)
NOTES TO THE REQUEST FORM (PCT/RO/101)
These Notes are intended to facilitate the fi lling in of the request form. For more detailed information, see the PCT
Applicant’s Guide, a WIPO publication, which is available, together with other PCT related documents, at WIPO’s website:
www.wipo.int/pct/en/. The Notes are based on the requirements of the Patent Cooperation Treaty (PCT), the Regulations and the
Administrative Instructions under the PCT. In case of any discrepancy between these Notes and those requirements, the latter are
applicable.
In the request form and these Notes, “Article”, “Rule” and “Section” refer to the provisions of the PCT, the PCT Regulations
and the PCT Administrative Instructions, respectively.
The request form should be typed or printed; check-boxes may be marked by hand with black ink (Rule 11.9(a) and (b)).
The request form and these Notes may be downloaded from WIPO’s website at the address given above.
WHERE TO FILE
THE INTERNATIONAL APPLICATION
The international application (request, description, claims,
abstract and drawings, if any) must be fi led with a competent
receiving Offi ce (Article 11(1)(i)) – that is, subject to any
applicable prescriptions concerning national security, at the
choice of the applicant, either:
(i) the receiving Offi ce of, or acting for, a PCT Contracting
State of which the applicant or, if there are two or more applicants,
at least one of them, is a resident or national (Rule 19.1(a)(i) or
(ii) or (b)), or
(ii) the International Bureau of WIPO in Geneva,
Switzerland, if the applicant or, if there are two or more
applicants, at least one of the applicants is a resident or national
of any PCT Contracting State (Rule 19.1(a)(iii)).
CONFIRMATION COPY
OF THE REQUEST FORM
Where the international application was initially fi led by
facsimile with a receiving Offi ce that accepts such fi lings (see
the PCT Applicant’s Guide, Annex C) this should be indicated on
the fi rst sheet of the form by the annotation “CONFIRMATION
COPY” followed by the date of the facsimile transmission.
APPLICANT’S OR AGENT’S FILE REFERENCE
A File Reference may be indicated, if desired. It should
not exceed 25 characters. Characters in excess of 25 may be
disregarded by the receiving Offi ce or any International Authority
(Rule 11.6(f) and Section 109).
BOX No. I
Title of Invention (Rules 4.3 and 5.1(a)): The title must
be short (preferably two to seven words when in English or
translated into English) and precise. It must be identical with
the title heading the description.
BOXES Nos. II AND III
General: At least one of the applicants named must be a
resident or national of a PCT Contracting State for which the
receiving Offi ce acts (Articles 9 and 11(1)(i) and Rules 18
and 19). If the international application is fi led with the
International Bureau under Rule 19.1(a)(iii), at least one
of the applicants must be a resident or national of any PCT
Contracting State.
Indication Whether a Person is Applicant and/or Inventor
(Rules 4.5(a) and 4.6(a) and (b)):
Check-box “This person is also inventor” (Box No. II): Mark
this check-box if the applicant named is also the inventor or one
of the inventors; do not mark this check-box if the applicant is
a legal entity.
Check-box “applicant and inventor” (Box No. III): Mark this
check-box if the person named is both applicant and inventor;
do not mark this check-box if the person is a legal entity.
Check-box “applicant only” (Box No. III): Mark this
check-box if the person named is a legal entity or if the person
named is not also inventor.
Check-box “inventor only” (Box No. III): Mark this check-
box if the person named is inventor but not also applicant. This
would be the case, for example, where the inventor is deceased
or has assigned the invention and the assignee is the applicant
for all designated States. Do not mark this check-box if the
person is a legal entity.
In Box No. III, one of the three check-boxes must always
be marked for each person named.
A person must not be named more than once in Boxes Nos. II
and III, even where that person is both applicant and inventor.
Diff erent Applicants for Diff erent Designated States
(Rules 4.5(d), 18.3 and 19.2): It is possible to indicate diff erent
applicants for the purposes of diff erent designated States. At least
one of all the applicants named must be a national or resident
of a PCT Contracting State for which the receiving Offi ce acts,
irrespective of the designated State(s) for the purposes of which
that applicant is named.
For the indication of the designated States for which a
person is applicant, mark the applicable check-box (only
one for each person). If the person is not an applicant for all
designated States, the check-box “the States indicated in the
Supplemental Box” must be marked, and the name of the person
must be repeated in the Supplemental Box with an indication
of the States for which that person is applicant (see item 1(ii)
in that Box).
Naming of Inventor
(Rule 4.1(a)(iv) and (c)(i)): It is
strongly recommended to always name the inventor since such
information is generally required in the national phase. For
details, see the PCT Applicant’s Guide, Annex B.
Diff erent Inventors for Diff erent Designated States
(Rule 4.6(c)): Diff erent persons may be indicated as inventors
for diff erent designated States (for example, where, in this
respect, the requirements of the national laws of the designated
States are not the same); in such a case, the Supplemental Box
must be used (see item 1(iii) in that Box). In the absence of
any indication, it will be assumed that the inventor(s) named is
(are) inventor(s) for all designated States.
Names and Addresses (Rule 4.4): The family name
(preferably in capital letters) must be indicated before the
given name(s). Titles and academic degrees must be omitted.
Names of legal entities must be indicated by their full offi cial
designations.
The address must be indicated in such a way that it allows
prompt postal delivery; it must consist of all the relevant
administrative units (up to and including the indication of the
house number, if any), the postal code (if any), and the name
of the country.
Only one address may be indicated per person. For the
indication of a special “address for correspondence”, see the
notes to Box No. IV.
page 2
Notes to the request form (PCT/RO/101) (page 2) (July 2020)
Telephone, Facsimile Numbers and/or E-mail Addresses
should be indicated for the persons named in Boxes Nos. II
and IV in order to allow rapid communication with them (see
Rule 4.4(c)). Any telephone or facsimile number should include
the applicable country and area codes. A single e-mail address
only should be indicated.
Unless one of the applicable check-boxes is marked, any
e-mail address supplied will be used only for the types of
communication which might be made by telephone. If one of
the applicable check-boxes is marked, the receiving Offi ce, the
International Searching Authority, the International Bureau and
the International Preliminary Examining Authority may send
notifi cations in respect of the international application to the
applicant, avoiding processing or postal delays. Note that not
all Offi ces will send such notifi cations by e-mail, (for details
about each Offi ce’s procedure see the PCT Applicant’s Guide,
Annex B). If the fi rst check-box is marked, any such e-mail
notifi cation will always be followed by the offi cial notifi cation
on paper. Only that paper copy of the notifi cation is considered
the legal copy of the notifi cation and only the date of mailing
of that paper copy will commence any time limit within the
meaning of Rule 80. If the second check-box is marked, the
applicant requests the discontinuation of the sending of paper
copies of notifi cations and acknowledges that the date of mailing
indicated on the electronic copy will commence any time limit
within the meaning of Rule 80.
Note that it is the applicant’s responsibility to keep any
e-mail address details up-to-date and to ensure that incoming
e-mails are not blocked for any reason on the recipient’s side.
Changes to the e-mail address indicated in the request should be
requested to be recorded, preferably directly at the International
Bureau, under Rule 92bis. Where the e-mail authorization is
given both in respect of the applicant and in respect of an agent
or common representative, the International Bureau will send
e-mail communications only to the appointed agent or common
representative.
Applicant’s Registration Number with the Office
(Rule 4.5(e)): Where the applicant is registered with the national
or regional Offi ce acting as receiving Offi ce, the request may
indicate the number or other indication under which the applicant
is so registered.
Nationality (Rules 4.5(a) and (b) and 18.1): For each
applicant, the nationality must be indicated by the name or two-
letter code of the State (that is, country) of which the person is a
national. A legal entity constituted according to the national law
of a State is considered a national of that State. The indication
of the nationality is not required where a person is inventor only.
Residence (Rules 4.5(a) and (c) and 18.1): For each applicant,
the residence must be indicated by the name or two-letter code
of the State (that is, country) of which the person is a resident.
If the State of residence is not indicated, it will be assumed to
be the same as the State indicated in the address. Possession
of a real and eff ective industrial or commercial establishment
in a State is considered residence in that State. The indication
of the residence is not required where a person is inventor only.
Names of States (Section 115): For the indication of names of
States, the two-letter codes appearing in WIPO Standard ST.3
and in the PCT Applicant’s Guide, Annex K, may be used.
BOX No. IV
Who Can Act as Agent? (Article 49 and Rule 83.1bis): For
each of the receiving Offi ces, information as to who can act as
agent is given in the PCT Applicant’s Guide, Annex C.
Agent or Common Representative (Rules 4.7, 4.8, 90.1
and 90.2 and Section 108): Mark the applicable check-box
in order to indicate whether the person named is (or has
been) appointed as “agent” or “common representative” (the
“common representative” must be one of the applicants). For
the manner in which name(s), address(es) (including names of
States), telephone, facsimile numbers and/or e-mail addresses
must be indicated, see the notes to Boxes Nos. II and III. Where
several agents are listed, the agent to whom correspondence
should be addressed is to be listed fi rst. If there are two or
more applicants but no common agent is appointed to represent
all of them, one of the applicants who is a national or resident
of a PCT Contracting State may be appointed by the other
applicants as their common representative. If this is not done,
the applicant fi rst named in the request who is entitled to fi le an
international application with the receiving Offi ce concerned will
be considered to be the common representative.
Manner of Appointment of Agent or Common
Representative (Rules 90.4 and 90.5 and Section 106): The
appointment of an agent or a common representative may be
eff ected by designating the agent or common representative in
Box No. IV and by the applicant signing the request or a separate
power of attorney. Where there are two or more applicants, the
appointment of a common agent or common representative
must be eff ected by each applicant signing, at his choice, the
request or a separate power of attorney. If the separate power
of attorney is not signed, or if the required separate power of
attorney is missing, or if the indication of the name or address of
the appointed person does not comply with Rule 4.4, the power
of attorney will be considered non-existent unless the defect
is corrected. However, the receiving Offi ce may waive the
requirement that a separate power of attorney be submitted to it
(for details about each receiving Offi ce, see the PCT Applicant’s
Guide, Annex C).
Where a general power of attorney has been fi led and is
referred to in the request, a copy thereof must be attached to
the request. Any applicant who did not sign the general power
of attorney must sign either the request or a separate power of
attorney, unless the receiving Offi ce has waived the requirement
that a separate power of attorney be submitted to it (for details,
see the PCT Applicant’s Guide, Annex C).
Agent’s Registration Number with the Offi ce (Rule 4.7(b)):
Where the agent is registered with the national or regional Offi ce
that is acting as receiving Offi ce, the request may indicate the
number or other indication under which the agent is so registered.
Address for Correspondence (Rule 4.4(d) and Section 108):
Where an agent is appointed, any correspondence intended for
the applicant will be sent to the address indicated for that agent
(or for the fi rst-mentioned agent, if more than one is appointed).
Where one of two or more applicants is appointed as common
representative, the address indicated for that applicant in
Box No. IV will be used.
Where no agent or common representative is appointed,
any correspondence will be sent to the address, indicated
in Box No. II or III, of the applicant (if only one person is
named as applicant) or of the applicant who is considered to
be common representative (if there are two or more persons
named as applicants). However, if the applicant wishes
correspondence to be sent to a diff erent address in such a case,
that address must be indicated in Box No. IV instead of the
designation of an agent or common representative. In this case,
and only in this case, the last check-box of Box No. IV must be
marked (that is, the last check-box must not be marked if either
of the check-boxes “agent” or “common representative” has
been marked).
Telephone, Facsimile Numbers and/or E-mail Addresses
See Notes to Boxes Nos II and III.
BOX No. V
Designations (Regional and national patents) (Rule 4.9):
Upon fi ling of the request, the applicant will obtain an automatic
and all-inclusive coverage of all designations available under
the PCT on the international fi ling date, in respect of every
kind of protection available and, where applicable, in respect of
both regional and national patents. If the applicant wishes the
international application to be treated, in a certain designated or
elected State, as an application not for a patent but for another
kind of protection available under the national law of the
designated or elected State concerned, the applicant will have
to indicate his choice directly to the designated or elected Offi ce
when performing the acts, referred to in Articles 22 or 39(1), for
entry into the national phase. For details about various kinds of
protection available in designated or elected States, see the PCT
Applicant’s Guide, Annex B.
page 3
Notes to the request form (PCT/RO/101) (page 3) (July 2020)
However, for the reasons explained below, it is possible
to indicate, by marking the applicable check-box(es), that
DE Germany, JP Japan and/or KR Republic of Korea are not
designated for any kind of national protection. Each of those
States has notifi ed the International Bureau that Rule 4.9(b)
applies to it since its national law provides that the fi ling of an
international application which contains the designation of that
State and claims the priority, at the time of fi ling or subsequently
under Rule 26bis.1, of an earlier national application (for DE:
for the same kind of protection) having eff ect in that State shall
have the result that the earlier national application ceases, where
applicable, after the expiration of certain time limits, to have
eff ect with the same consequences as the withdrawal of the
earlier national application. The designation of DE Germany
for the purposes of a EP European patent is not aff ected by what
is said above. For details see the PCT Applicant’s Guide, in the
relevant Annex B.
Only the three States mentioned above may be excluded from
the all-inclusive coverage of all designations in Box No. V. For
any other PCT Contracting State which the applicant wishes
to exclude from the all-inclusive coverage of all designations,
the applicant should submit a separate notice of withdrawal of
the designation concerned under Rule 90bis.2. Important:
Should a notice of withdrawal be fi led, that notice will have
to be signed by the applicant or, if there are two or more
applicants, by all of them (Rule 90bis.5), or by an agent
or a common representative whose appointment has been
eff ected by each applicant signing, at his choice, the request,
the demand or a separate power of attorney (Rule 90.4(a)).
BOX No. VI
Priority Claim(s) (Rule 4.10): If the priority of an earlier
application is claimed, the declaration containing the priority
claim must be made in the request.
The request must indicate the date on which the earlier
application from which priority is claimed was fi led and the
number it was assigned. Note that that date must fall within
the period of 12 months preceding the international fi ling date.
Where the earlier application is a national application,
the country party to the Paris Convention for the Protection
of Industrial Property, or the Member of the World Trade
Organization that is not a party to that Convention, in which
that earlier application was fi led must be indicated. Where the
earlier application is a regional application, the regional Offi ce
concerned must be indicated. Where the earlier application is
an international application, the receiving Offi ce with which
that earlier application was fi led must be indicated.
Where the earlier application is a regional application (see
however below), or an international application, the priority
claim may also, if the applicant so wishes, indicate one or more
countries party to the Paris Convention for which that earlier
application was fi led (Rule 4.10(b)(i)); such an indication is
not, however, mandatory. Where the earlier application is a
regional application and at least one of the countries party to the
regional patent treaty is neither party to the Paris Convention
nor a Member of the World Trade Organization, at least one
country party to the Paris Convention or one Member of the
World Trade Organization for which that earlier application was
fi led must be indicated (Rule 4.10(b)(ii)) in the Supplemental
Box.
As to the possibility of correcting or adding a priority claim,
see Rule 26bis.1 and the PCT Applicant’s Guide, International
Phase.
Restoration of the Right of Priority (Rules 4.1(c)(v)
and 26bis.3): The procedure for restoration of the right of
priority is not applicable to a receiving Offi ce which has provided
notice to the International Bureau under Rule 26bis.3(j) of the
incompatibility of Rule 26bis.3(a) to (i) with the national law
applied by that Offi ce. Where the international application is
fi led on a date which is later than the date on which the priority
period (see Rule 2.4) expired but within the period of two months
from that date, the applicant may request the receiving Offi ce to
restore the right of priority (Rule 26bis.3). Such a request must
be fi led with the receiving Offi ce within two months from the
date on which the priority period expired; it may be included in
the request (Rule 4.1(c)(v)) by identifying the priority claim(s)
in Box No. VI. If, in Box No. VI, a priority claim is identifi ed
in respect of which a request to restore the right of priority is
made, in such case, a separate document should be submitted
entitled “Statement for Restoration of the Right of Priority”. This
separate document should indicate, for each earlier application
concerned, the fi ling date, the earlier application number and
the name or two-letter code of the country, Member of WTO,
regional Offi ce or receiving Offi ce. Then, for each earlier
application concerned, the applicant should state the reasons for
the failure to fi le the international application within the priority
period (Rules 26bis.3(a) and 26bis.3(b)(ii)). Note that such a
request may be subjected by the receiving Offi ce to the payment
to it of a fee, payable within the time limit referred to above
(Rule
26bis.3(e)). According to Rule 26bis.3(d), the time limit for
payment of the fee may be extended, at the option of the receiving
Offi ce, for a period of up to two months from the expiration of
the time limit applicable under Rule 26bis.3(e). Note further
that the receiving Offi ce may require the furnishing, within
a reasonable time limit, of a declaration or other evidence in
support of the statement of reasons; preferably, such declaration
or other evidence should already be submitted to the receiving
Offi ce together with the request for restoration (Rule 26bis.3(b)
and (f)). The receiving Offi ce shall restore the right of priority
if it fi nds that a criterion for restoration applied by the Offi ce is
satisfi ed (Rule 26bis.3(a)). For information on which criteria a
receiving Offi ce applies see the PCT Applicant’s Guide, Annex C.
Incorporation by Reference (Rules 4.18 and 20): The
procedure for incorporation by reference is not applicable to a
receiving Offi ce which has provided notice to the International
Bureau, under Rule 20.8(a) or (a-bis), of the incompatibility of
the provisions on incorporation by reference with its national law.
Where the receiving Offi ce fi nds that any of the requirements
of Article 11(1)(iii)(d) and (e) are not or appear not to be
fulfi lled, it will invite the applicant to either furnish the required
correction or confi rm that the element concerned referred to in
Article 11(1)(iii)(d) or (e) is incorporated by reference under
Rule 4.18. Where the applicant furnishes the required correction
under Article 11(2), the international fi ling date will be the date on
which the receiving Offi ce receives the required correction (see
Rule 20.3(a)(ii) and (b)(i)), provided that all other requirements
of Article 11(1) are fulfi lled. However, where the applicant
confi rms the incorporation by reference of an element referred
to in Article 11(1)(iii)(d) or (e) which is completely contained
in an earlier application the priority of which is claimed in the
international application, that element will be considered to
have been contained in the purported international application
on the date on which one or more elements referred to in
Article 11(1)(iii) were fi rst received by the receiving Offi ce,
and the international fi ling date will be the date on which all
Article 11(1) requirements are fulfi lled (see Rule 20.3(a)(ii)
and (b)(ii)).
Where the applicant furnishes a missing part to the receiving
Offi ce after the date on which all of the requirements of
Article 11(1) were fulfi lled but within the applicable time limit
under Rule 20.7, that part will be included in the international
application and the international fi ling date will be corrected
to the date on which the receiving Offi ce received that part
(see Rule 20.5(c)). In such a case, the applicant will be given
the opportunity to request the receiving Offi ce to disregard the
missing part concerned, in which case the missing part would be
considered not to have been furnished and the correction of the
international fi ling date not to have been made (see Rule 20.5(e)).
However, where the applicant confi rms the incorporation by
reference of a missing part in accordance with Rule 20.6(a) and
the receiving Offi ce fi nds that all the requirements of Rules 4.18
and 20.6(a) are complied with, that 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
Article 11(1)(iii) were fi rst received by the receiving Offi ce, and
the international fi ling date will be the date on which all of the
requirements of Article 11(1) are fulfi lled (see Rule 20.5(d)).
Where, in the case of an element or part having been
erroneously fi led, the applicant furnishes the correct element
or part to the receiving Office after the date on which all of
Notes to the request form (PCT/RO/101) (page 4) (July 2020)
page 4
the requirements of Article 11(1) were fulfilled but within the
applicable time limit under Rule 20.7, the correct element or part
will be included in the international application, the erroneously
fi led element or part will be removed from the international
application, and the international filing date will be corrected
to the date on which the receiving Office received that element
or part (see Rule 20.5bis(c)). In such a case, the applicant will
be given the opportunity to request the receiving Office to
disregard the correct element or part concerned, in which case
the correct element or part would be considered not to have
been furnished and the correction of the international filing
date not to have been made (see Rule 20.5bis(e)). However,
where the applicant confirms the incorporation by reference of
the correct element or part in accordance with Rule 20.6(a) and
the receiving Office finds that all the requirements of Rules 4.18
and 20.6(a) are complied with, the correct element or 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 Article 11(1)(iii) were first received by the receiving Office,
and the international filing date will be the date on which all of
the requirements of Article 11(1) are fulfilled.
Furnishing the priority document(s) (Rule 17.1): A
certifi ed copy of each earlier application the priority of which is
claimed (priority document) must be submitted by the applicant,
irrespective of whether that earlier application is a national,
regional or international application. The priority document
must be submitted to the receiving Offi ce or to the International
Bureau before the expiration of 16 months from the (earliest)
priority date or, where an early start of the national phase is
requested, not later than at the time such request is made. Any
priority document received by the International Bureau after
the expiration of the 16-month time limit but before the date
of international publication shall be considered to have been
received on the last day of that time limit (Rule 17.1(a)).
Where the priority document was issued by the receiving
Offi ce, the applicant may, instead of submitting the priority
document, request the receiving Offi ce (not later than 16 months
after the priority date) to prepare and transmit the priority
document to the International Bureau (Rule 4.1(c)(ii)). Such
requests may be made by marking the applicable check-boxes
in Box No. VI. Note that where such a request is made, the
applicant must, where applicable, pay to the receiving Offi ce
the fee for priority document, otherwise, the request will be
considered not to have been made (see Rule 17.1(b)).
Where the priority document is available from an Offi ce that
participates in the WIPO Digital Access Service for Priority
Documents (DAS) (www.wipo.int/das/en), the applicant may
use DAS to provide the priority document to the International
Bureau. Once the applicant requests the depositing Offi ce
to provide a copy of the priority document to DAS (see PCT
Applicant’s Guide, Annex B of the DAS depositing Offi ce for
further indications of the procedure to be followed), the applicant
will receive an access code (unless the applicant has already
automatically received the access code from the depositing
Offi ce in the priority application fi ling process). The applicant
should then mark the applicable check-boxes in Box No. VI, and
indicate the access code for each specifi c priority document.
Information concerning whether and which priority documents
are available to the International Bureau from a digital library
is published in the Offi cial Notices (PCT Gazette) pursuant to
Section 715(c) and the PCT Applicant’s Guide, Annex B(IB).
Dates (Section 110): Dates must be indicated by the Arabic
number of the day, the name of the month and the Arabic
number of the year – in that order; after, below or above such
indication, the date should be repeated in parentheses, using
two-digit Arabic numerals each for the number of the day and
for the number of the month followed by the number of the
year in four digits, in that order and separated by periods, slants
or hyphens, for example, “26 October 2018 (26.10.2018)”,
“26 October 2018 (26/10/2018)” or “26 October 2018
(26-10-2018)”.
BOX No. VII
Choice of International Searching Authority (ISA)
(Rules 4.1(b)(iv) and 4.14bis): If two or more International
Searching Authorities are competent for carrying out the
international search in relation to the international application –
depending on the language in which that application is fi led
and the receiving Offi ce with which it is fi led – the name of the
competent Authority chosen by the applicant must be indicated
in the space provided, either by its full name or two-letter code.
Continuation of BOX No. VII, item 1
Request to Use Results of Earlier Search; Submission of
Earlier Search Results (Rules 4.12, 12bis, 16.3 and 41.1). The
applicant may request the ISA to take into account, in carrying
out the international search, the results of an earlier search carried
out either by that Authority, by another ISA or by a national or
regional Offi ce (Rule 4.12). Where the applicant has made such
a request and complied with the requirements under Rule 12bis,
and where the earlier search was carried out by the same ISA or
by the same national or regional Offi ce as that which is acting as
the ISA, the ISA shall, to the extent possible, take into account
the results of the earlier search. If, on the other hand, the earlier
search was carried out by another ISA or by a national or regional
Offi ce other than that is acting as the ISA, the ISA may, but is
not obliged to, take the results of the earlier search into account
(Rule 41.1). Where the ISA takes into account the results of
an earlier search, it shall (partially) refund the search fee to the
extent and under the conditions provided for in the agreement
under Article 16(3)(b) (see, for each ISA, the PCT Applicant’s
Guide, Annex D).
Any request to take into account the results of an earlier
search should identify: the fi ling date and number of the
application in respect of which the earlier search was carried out
and the Authority or Offi ce which carried out the earlier search
(Rules 4.1(b)(ii) and 4.12(i)).
The applicant shall submit to the receiving Offi ce, together
with the international application at the time of fi ling, a copy of
the results of the earlier search (Rule 12bis.1(a)), except:
– where the earlier search was carried out by the same Offi ce as
that which is acting as the receiving Offi ce or where the earlier
search results are otherwise available to the receiving Offi ce, the
applicant may, instead of submitting a copy of the results of the
earlier search, request the receiving Offi ce to transmit a copy of
those results to the ISA by marking the appropriate check-box
(Rule 12bis.1(b) and (d));
– where the earlier search was carried out by the same Authority
or Offi ce as that which is acting as ISA, no copy of the results
of the earlier search is required to be submitted to the receiving
Offi ce or to the ISA (Rules 12bis.1(c) and 12bis.2(b));
– where a copy of the results of the earlier search is available
to the receiving Offi ce or to the ISA in a form and manner
acceptable to it, and if so indicated in the request form by the
applicant by marking the appropriate check-box, no copy of the
results is required to be submitted to the receiving Offi ce or to
the ISA (Rules 12bis.1(d) and 12bis.2(b));
Where the applicant has made a request under Rule 4.12, the
earlier search results to be submitted by the receiving Offi ce to
the ISA shall include, where applicable, a copy of any earlier
classifi
cation results (Rule 23bis.1(b)).
Use of Results of more than one Earlier Search: Where the
ISA is requested to use the results of more than one earlier search,
please mark the relevant check-box, and furnish duplicates of
this page, marked “continuation sheet of item 1 of Continuation
of Box No. VII”, attached to the request form.
Continuation of BOX NO. VII, item 2
Transmission of the Earlier Search and Classifi cation
Results to the ISA by the Receiving Offi ce where the applicant
did not make a request under Rule 4.12 Where the international
application claims priority of an earlier application, subject to
Article 30(2) and (3), the receiving Offi ce shall transmit to the
ISA a copy of the results of the earlier search and classifi cation
(unless such copy is already available to the ISA) if the earlier
application was fi led with the same national or regional Offi ce as
Notes to the request form (PCT/RO/101) (page 5) (July 2020)
page 5
that which is acting as the receiving Offi ce, and that Offi ce has
carried out the earlier search in respect of the earlier application
(Rule 23bis.2(a)); the receiving Offi ce may transmit a copy of
the results of the earlier search and classifi cation if the earlier
application was fi led with a diff erent Offi ce but where the results
of that earlier search and classifi cation are nevertheless available
to the receiving Offi ce (Rule 23bis.2(c)).
Request not to Transmit the Earlier Search Results by
the receiving Offi ce to the ISA: Where the international
application is filed with a receiving Office which has
notifi ed the International Bureau under Rule 23bis.2(b) that
it may, on request of the applicant, decide not to transmit
the results of an earlier search to the ISA, the applicant
may check the check-box in item 2.2 of Continuation of
Box No. VII. This only concerns international applications
fi led with the following receiving Offi ces: DE, FI and SE
(see www.wipo.int/pct/en/texts/reservations/res_incomp.html).
Authorization to Transmit the Earlier Search and
Classifi cation Results by the receiving Offi ce to the ISA: Where
the international application is fi led with a receiving Offi ce which
has notifi ed the International Bureau under Rule 23bis.2(e) that the
transmission of copies of earlier search and classifi cation results
without the authorization of the applicant is not compatible with
the national law applied by the receiving Offi ce, the applicant
may check the fi rst check-box in item 2.3 of Continuation of Box
No. VII to nevertheless authorize the receiving Offi ce to transmit
the earlier search and classifi cation results to the ISA. This only
concerns international applications fi led with the following
receiving Offi ces: AU, CZ, FI, HU, IL, JP, NO, SE, SG and US.
(see www.wipo.int/pct/en/texts/reservations/res_incomp.html).
In respect of all receiving Offi ces, the second check-box in
item 2.3 of Continuation of Box No. VII may also be used to
expressly authorize the receiving Offi ce to transmit the earlier
search and classifi cation results where the earlier search was
carried out in respect of an international application, the priority
of which is subsequently claimed in this international application
and where the earlier international search was carried out by a
diff erent ISA than the ISA chosen in Box No. VII.
Use of Results of more than one Earlier Search
: Where
the international application claims priority of more than one
earlier application, and where the applicant is entitled and wishes
to make an indication under item 2.2 or 2.3 (Rule 23bis.2(a)(b)
and (e)) for each earlier application, please mark the relevant
check-box, and furnish duplicates of this page that lists each
priority claim concerned, marked “continuation sheet of item 2
of Continuation of Box No. VII”, attached to the request form.
BOX No. VIII
Declarations Containing Standardized Wording
(Rules 4.1(c)(iii) and 4.17): At the option of the applicant, the
request may, for the purposes of the national law applicable
in one or more designated States, contain one or more of the
following declarations:
(i) declaration as to the identity of the inventor;
(ii) declaration as to the applicant’s entitlement, as at the
international fi ling date, to apply for and be granted a
patent;
(iii) declaration as to the applicant’s entitlement, as at the
international fi ling date, to claim the priority of the earlier
application;
(iv) declaration of inventorship (only for the purposes of the
designation of the United States of America);
(v) declaration as to non-prejudicial disclosures or
exceptions to lack of novelty;
which must conform to the standardized wording provided for
in Sections 211 to 215, respectively, and which must be set forth
in Boxes Nos. VIII (i) to (v), as detailed below. Where any
such declarations are included, the appropriate check-boxes in
Box No. VIII should be marked and the number of each type
of declaration should be indicated in the right-hand column.
As to the possibility of correcting or adding a declaration,
see Rule 26ter, Section 216 and the PCT Applicant’s Guide,
International Phase.
If the circumstances of a particular case are such that the
standardized wordings are not applicable, the applicant should
not attempt to make use of the declarations provided for in
Rule 4.17 but rather will have to comply with the national
requirements concerned upon entry into the national phase.
The fact that a declaration is made under Rule 4.17 does not
of itself establish the matters declared; the eff ect of those matters
in the designated States concerned will be determined by the
designated Offi ces in accordance with the applicable national
law.
Even if the wording of a declaration does not conform to
the standardized wording provided for in the Administrative
Instructions pursuant to Rule 4.17, any designated Offi ce may
accept that declaration for the purposes of the applicable national
law, but is not required to do so.
Details as to National Law Requirements: For information
on the declarations required by each designated Offi ce, see the
PCT Applicant’s Guide, in the relevant National Chapter.
Eff ect in Designated Offi ces (Rule 51bis.2): Where the
applicant submits any of the declarations provided for in
Rule 4.17(i) to (iv) containing the required standardized wording
(either with the international application, or to the International
Bureau within the relevant time limit under Rule 26ter, or
directly to the designated Offi ce during the national phase), the
designated Offi ce may not, in the national phase, require further
documents or evidence on the matter to which the declaration
relates, unless that designated Offi ce may reasonably doubt the
veracity of the declaration concerned.
BOXES Nos. VIII (i) TO (v)
(IN GENERAL)
Diff erent Declaration Boxes: There are six diff erent
declaration boxes in the pre-printed request form – one box
for each of the fi ve diff erent types of declarations provided
for in Rule 4.17 (Box No. VIII (i) to Box No. VIII (v)) and a
continuation sheet (Continuation of Box No. VIII (i) to (v))
to be used in case any single declaration does not fi t in the
corresponding box. The title of each type of declaration
which is found in the standardized wording provided for in the
Administrative Instructions is pre-printed on the appropriate
sheet of the request.
Separate Sheet for Each Declaration: Each declaration
must start on a separate sheet of the request form in the
appropriate Declaration Box.
Titles, Items, Item Numbers, Dotted Lines, Words
in Parentheses and Words in Brackets: The prescribed
standardized wording of the declarations includes titles, various
items, item numbers, dotted lines, words in parentheses and
words in brackets. Except for Box No. VIII (iv) which contains
the pre-printed standardized wording, only those items which
are applicable should be included in a declaration where
necessary to support the statements in that declaration (that
is, omit those items which do not apply) and item numbers
need not be included. Dotted lines indicate where information
is required to be inserted. Words in parentheses are
instructions to applicants as to the information which may
be included in the declaration depending upon the factual
circumstances. Words in brackets are optional and should
appear in the declaration without the brackets if they apply;
if they do not apply, they should be omitted together with
the corresponding brackets.
Naming of Several Persons: More than one person may
be named in a single declaration. In the alternative, with one
exception, a separate declaration may be made for each person.
With respect to the declaration of inventorship set forth in
Box No. VIII (iv), which is applicable only for the purposes of the
designation of the United States of America, all inventors must
be indicated in a single declaration (see Notes to Box No. VIII
(iv), below). The wording of declarations to be set forth in
Boxes Nos. VIII (i), (ii), (iii) and (v) may be adapted from the
singular to the plural as necessary.
Notes to the request form (PCT/RO/101) (page 6) (July 2020)
BOX No. VIII (i)
Declaration as to the Identity of the Inventor (Rule 4.17(i)
and Section 211): The declaration must be worded as follows:
“Declaration as to the identity of the inventor (Rules 4.17(i)
and 51bis.1(a)(i)):
in relation to [this] international application [No. PCT/…],
... (name) of … (address) is the inventor of the subject
matter for which protection is sought by way of [the]
[this] international application”
Such a declaration is not necessary in respect of any inventor
who is indicated as such (either as inventor only or applicant and
inventor) in Box No. II or No. III in accordance with Rule 4.5
or 4.6. However, where the inventor is indicated as applicant in
Box No. II or No. III in accordance with Rule 4.5, a declaration
as to the applicant’s entitlement to apply for and be granted a
patent (Rule 4.17(ii)) may be appropriate. Where indications
regarding the inventor in accordance with Rule 4.5 or 4.6 are
not included in Box No. II or No. III, this declaration may be
combined with the prescribed wording of the declaration as to
the applicant’s entitlement to apply for and be granted a patent
(Rule 4.17(ii)). For details on such a combined declaration,
see Notes to Box No. VIII (ii), below. For details as to the
declaration of inventorship for the purposes of the designation
of the United States of America, see Notes to Box No. VIII (iv),
below.
BOX No. VIII (ii)
Declaration as to the Applicant’s Entitlement to Apply
for and Be Granted a Patent (Rule 4.17(ii) and Section 212):
The declaration must be worded as follows, with such inclusion,
omission, repetition and re-ordering of the matters listed as
items (i) to (viii) as is necessary to explain the applicant’s
entitlement:
“Declaration as to the applicant’s entitlement, as at
the international fi ling date, to apply for and be granted a
patent (Rules 4.17(ii) and 51bis.1(a)(ii)), in a case where the
declaration under Rule 4.17(iv) is not appropriate:
in relation to [this] international application [No. PCT/…],
... (name) is entitled to apply for and be granted a patent by
virtue of the following:
(i) ... (name) of … (address) is the inventor of the
subject matter for which protection is sought by way
of [the] [this] international application
(ii) ... (name) [is] [was] entitled as employer of the
inventor, ... (inventor’s name)
(iii) an agreement between … (name) and … (name),
dated …
(iv) an assignment from … (name) to … (name), dated …
(v) consent from … (name) in favor of … (name), dated …
(vi) a court order issued by … (name of court), eff ecting
a transfer from … (name) to … (name), dated …
(vii) transfer of entitlement from … (name) to … (name)
by way of … (specify kind of transfer), dated …
(viii) the applicant’s name changed from … (name) to …
(name) on … (date)”
Items (i) to (viii) may be incorporated as is necessary to
explain the applicant’s entitlement. This declaration is only
applicable to those events which have occurred prior to the
international fi ling date. The possible kinds of transfer of
entitlement in item (vii) include merger, acquisition, inheritance,
donation, etc. Where there has been a succession of transfers
from the inventor, the order in which transfers are listed should
follow the actual succession of transfers, and items may be
included more than once, as necessary to explain the applicant’s
entitlement. Where the inventor is not indicated in Box No. II
or No. III, this declaration may be presented as a combined
declaration explaining the applicant’s entitlement to apply for and
be granted a patent and identifying the inventor. In such a case,
the introductory phrase of the declaration must be as follows:
“Combined declaration as to the applicant’s entitlement, as at
the international
fi ling date, to apply for and be granted a patent
(Rules 4.17(ii) and 51bis.1(a)(ii)) and as to the identity of the
inventor (Rules 4.17(i) and 51bis.1(a)(i)), in a case where the
declaration under Rule 4.17(iv) is not appropriate:”
The remainder of the combined declaration must be worded
as indicated in the preceeding paragraphs.
For details as to the declaration as to the identity of the inventor,
see the Notes to Box No. VIII (i), above.
BOX No. VIII (iii)
Declaration as to the Applicant’s Entitlement to Claim
Priority of the Earlier Application (Rule 4.17(iii) and
Section 213): The declaration must be worded as follows,
with such inclusion, omission, repetition and re-ordering of the
matters listed as items (i) to (viii) as is necessary to explain the
applicant’s entitlement:
“Declaration as to the applicant’s entitlement, as at the
international fi ling date, to claim the priority of the earlier
application specifi ed below, where the applicant is not the
applicant who fi led the earlier application or where the applicant’s
name has changed since the fi ling of the earlier application
(Rules 4.17(iii) and 51bis.1(a)(iii)):
in relation to [this] international application [No. PCT/…],
… (name) is entitled to claim priority of earlier application No. …
by virtue of the following:
(i) the applicant is the inventor of the subject matter for
which protection was sought by way of the earlier
application
(ii) … (name) [is] [was] entitled as employer of the
inventor, … (inventor’s name)
(iii) an agreement between … (name) and … (name), dated …
(iv) an assignment from … (name) to … (name), dated …
(v) consent from … (name) in favor of … (name), dated …
(vi) a court order, issued by … (name of court), eff ecting a
transfer from … (name) to … (name), dated …
(vii) transfer of entitlement from … (name) to … (name) by
way of … (specify kind of transfer), dated …
(viii) the applicant’s name changed from … (name)
to … (name) on … (date)”
Items (i) to (viii) may be incorporated as is necessary to explain
the applicant’s entitlement. This declaration is only applicable
to those events which have occurred prior to the international
fi ling date. In addition, this declaration is only applicable where
the person or name of the applicant is diff erent from that of the
applicant who fi led the earlier application from which priority is
claimed. For example, this declaration may be applicable where
only one applicant out of fi ve is diff erent from the applicants
indicated in respect of an earlier application. The possible kinds
of transfer of entitlement in item (vii) include merger, acquisition,
inheritance, donation, etc. Where there has been a succession of
transfers from the applicant in respect of the earlier application,
the order in which transfers are listed should follow the actual
succession of transfers, and items may be included more than
once, as necessary to explain the applicant’s entitlement.
BOX No. VIII (iv)
Declaration of Inventorship (Rule 4.17(iv) and
Section 214): The standardized wording for the declaration is
pre-printed in Box No. VIII (iv).
The name, residence and address must be included for each
inventor. If the name and address of an inventor is not written in
the Latin alphabet, the name and address must be indicated in the
page 6
Latin alphabet. All inventors must sign and date the declaration
even if they do not all sign the same copy of the declaration
(Section 214(b)).
If there are more than three inventors, those other inventors
must be indicated on the “Continuation of Box No. VIII (i) to (v)”
sheet. The continuation sheet should be entitled “Continuation
of Box No. VIII (iv),” must indicate the name, residence and
address for those other inventors, and at least the name and
address in the Latin alphabet. In such a case, the “complete
declaration” includes Box No. VIII (iv) and the continuation sheet.
All inventors must sign and date a complete declaration even if
they do not all sign the same copy of the complete declaration,
and a copy of each separately signed complete declaration must
be submitted (Section 214(b)).
Where the declaration was not included in the request,
but is furnished later, the PCT application number MUST be
indicated within the text of Box No. VIII (iv).
BOX No. VIII (v)
Declaration as to Non-prejudicial Disclosures or
Exceptions to Lack of Novelty (Rule 4.17(v) and Section 215):
The declaration must be worded as follows, with such inclusion,
omission, repetition and re-ordering of the matters listed as
items (i) to (iv) as is necessary:
“Declaration as to non-prejudicial disclosures or exceptions
to lack of novelty (Rules 4.17(v) and 51bis.1(a)(v)):
in relation to [this] international application [No. PCT/…],
… (name) declares that the subject matter claimed in [the] [this]
international application was disclosed as follows:
(i) kind of disclosure (include as applicable):
(a) international exhibition
(b) publication
(c) abuse
(d) other: … (specify)
(ii) date of disclosure: …
(iii) title of disclosure (if applicable): …
(iv) place of disclosure (if applicable): …”
Either (a), (b), (c) or (d) of item (i) should always be included
in the declaration. Item (ii) should also always be included in the
declaration. Items (iii) and (iv) may be incorporated depending
upon the circumstances.
BOX No. IX
Sheets Constituting the International Application: The
number of sheets of the various parts of the international
application must be indicated in the check list using Arabic
numerals. Sheets containing any of the Boxes Nos. VIII(i) to (v)
(declaration sheets) must be counted as part of the request. It
is noted that any tables, including those related to a sequence
listing, should be an integral part of the description and the
pages containing such tables will be counted as sheets of the
international application. There is no longer any provision for
submission of those tables separately or a reduced fee for such
a submission.
Nucleotide and/or amino acid sequences: Paper Filings:
Where the international application is fi led on paper (using the
sheet “last sheet - paper”) and contains disclosure of one of more
nucleotide and/or amino acid sequences, a sequence listing must
be presented as a separate part of the description (“sequence
listing part of description”) in accordance with the standard
contained in Annex C of the Administrative Instructions, that
is, in compliance with WIPO Standard ST.25. The number of
pages of the sequence listing must be indicated under item (f)
in Box No. IX and included in the total number of sheets.
Furthermore, where the sequence listing is fi led on paper, a copy
of the sequence listing in the form of an Annex C/ST.25 text
fi le saved on physical data carrier(s) (together with the required
statement) should accompany the international application, if so
required by the ISA but only for the purposes of international
Notes to the request form (PCT/RO/101) (page 7) (July 2020)
search under Rule 13ter. In such cases therefore, check-boxes
Nos. 8 and 9 must be marked in Box No. IX. In addition, the type
and number of carriers such as diskettes, CD-ROMs, CD-Rs or
other data carriers accepted by the ISA, should be indicated in
item 8.
_________________________________________________
For EFS-Web fi ling with RO/US
Nucleotide and/or amino acid sequences: Electronic Filings
via EFS-Web with RO/US: There exist two alternative last sheets
of the request form which contain two distinct Boxes No. IX.
The sheet “last sheet – paper”, described earlier, should be
used if the applicant intends to fi le the international application
on paper. The sheet “last sheet – EFS” should only be used if
the request form is fi led online with the receiving Offi ce of the
United States of America via EFS-Web.
(a) EFS-Web and text fi le: Where the international
application is fi led via EFS-Web (using the sheet “last sheet -
EFS”) and contains disclosure of one or more nucleotide and/
or amino acid sequences, a sequence listing must be presented
as a separate part of the description (“sequence listing part of
description”) in accordance with the standard contained in Annex
C of the Administrative Instructions, that is, in compliance with
WIPO Standard ST.25. The sequence listing should preferably
be furnished as an Annex C/ST.25 text fi le; in such cases, the
fi rst check-box of check-box (g) in Box No. IX should be
marked. When furnished in this manner, the number of sheets
of the sequence listing is not included in the total number of
sheets making up the international application. Whenever the
sequence listing is furnished as an Annex C/ST.25 text fi le, there
is no need to fi le another copy of the text fi le for search purposes
under Rule 13ter since the text fi le submitted will be used for
both disclosure of the international application and for search
purposes.
(b) EFS-Web and image fi le: If the sequence listing is fi led
online via EFS-Web as an image fi le (e.g. PDF fi le) rather than
the recommended text fi le, the corresponding boxes in check-
box (f) in Box No. IX should be marked. The number of sheets
of the sequence listing must be included in the total number
of sheets making up the international application. Where the
sequence listing is fi led in image format, a copy of the sequence
listing in the form of an Annex C/ST.25 text fi le (together with
the required statement) should accompany the international
application, if so required by the ISA but only for the purposes
of international search under Rule 13ter. In such cases, check-
boxes Nos. 8 and 9 must be marked in Box No. IX.
(c) EFS-Web and physical data carriers: The receiving
Offi ce of the United States of America has two distinct limitations
on the size of the sequence listing fi le it can accept via EFS-
Web. If the text fi le containing the sequence listing is larger
than 100MB, or if the image fi le (e.g. PDF fi le) containing the
sequence listing is larger than 25MB, the applicant must fi le
the sequence listings as an Annex C/ST.25 text fi le on physical
data carrier(s). The receiving Offi ce does not accept the fi ling
of image (e.g. PDF fi le) on physical data carrier(s). In such
cases, the data carrier(s) must be furnished on the same day
that the international application is fi led online. This may be
furnished via “Express Mail Post Offi ce to Addressee” with a
date-in by the United States Postal Service the same date as the
online fi ling date, or via commercial delivery services or by
hand, provided that it reaches the receiving Offi ce on the same
day as the international application fi led online. In such cases,
the corresponding check-boxes in check-box (g) in Box No. IX
must be marked. The number and type of carrier(s) should be
indicated in check-box (g). Whenever the sequence listing is
furnished as an Annex C/ST.25 text fi le, there is no need to fi le
another copy of the text fi le for search purposes under Rule 13ter
since the text fi le submitted will be used for both disclosure of
the international application and for search purposes.
__________________________________________________
Items Accompanying the International Application: Where
the international application is accompanied by certain items, the
applicable check-boxes must be marked, any applicable indication
must be made on the dotted line after the applicable item, and
the number of such items should be indicated at the end of the
page 7
relevant line; detailed explanations are provided below only in
respect of those items which so require.
Check-box No. 4: Mark this check-box where a copy
of a general power of attorney is fi led with the international
application; where the general power of attorney has been
deposited with the receiving Offi ce, and that Offi ce has accorded
to it a reference number, that number may be indicated.
Check-box No. 6: Mark this check-box where a translation
of the international application for the purposes of international
search (Rule 12.3) is fi led together with the international
application and indicate the language of that translation.
Check-box No. 7: Mark this check-box where a fi lled-
in Form PCT/RO/134 or any separate sheet containing
indications concerning deposited microorganisms and/or other
biological material is fi led with the international application. If
Form PCT/RO/134 or any sheet containing the said indications
is included as one of the sheets of the description (as required
by certain designated States (see the PCT Applicant’s Guide,
Annex L)), do not mark this check-box (for further information,
see Rule 13bis and Section 209).
Check-boxes Nos. 8 and 9: Where the sequence listing part
of the description is submitted on paper, a copy of the sequence
listing in the form of an Annex C/ST.25 text fi le (together with
the required statement) should accompany the international
application, if so required by the ISA, but only for the purposes
of international search under Rule 13ter. In this case, check-
boxes Nos. 8 and 9, must be marked in Box No. IX.
Language of Filing of the International Application
(Rules 12.1(a) and 20.1(c) and (d)): With regard to the language
in which the international application is fi led, for the purposes
of according an international fi ling date, it is, subject to the
following sentence, suffi cient that the description and the claims
are in the language, or one of the languages, accepted by the
receiving Offi ce for the fi ling of international applications; that
language should be indicated in that check-box (as regards the
language of the abstract and any text matter in the drawings, see
Rule 26.3ter(a) and (b); as regards the language of the request,
see Rules 12.1(c) and 26.3ter(c) and (d)). Note that where the
international application is fi led with the United States Patent
and Trademark Offi ce as receiving Offi ce, all elements of the
international application (request, description, claims, abstract,
text matter of drawings) must, for the purposes of according an
international fi ling date, be in English except that the free text in
any sequence listing part of the description, complying with the
standard set out in Annex C of the Administrative Instructions,
may be in a language other than English.
BOX No. X
Signature (Rules 4.1(d), 4.15, 26.2bis(a), 51bis.1(a)(vi)
and 90): The signature must be that of the applicant; if there
are several applicants, all must sign. However, if the signature
of one or more of the applicants is missing, the receiving Offi ce
will not invite the applicant to furnish the missing signature(s)
provided that at least one of the applicants signed the request.
Important: Should a notice of withdrawal be fi led at any
time during the international phase, that notice will have
to be signed by the applicant or, if there are two or more
applicants by all of them (Rule 90bis.5), or by an agent or
a common representative whose appointment has been
eff ected by each applicant signing, at his choice, the request,
the demand, a separate power of attorney (Rule 90.4(a)) or
a general power of attorney (Rule 90.5(a)).
Furthermore, for the purposes of the national phase
processing, each designated Offi ce will be entitled to require
the applicant to furnish the confi rmation of the international
application by the signature of any applicant for the designated
State concerned, who has not signed the request.
page 8
Notes to the request form (PCT/RO/101) (page 8) (July 2020)
Where the signature on the request is not that of the
applicant but that of the agent, or the common representative, a
separate power of attorney appointing the agent or the common
representative, respectively, or a copy of a general power of
attorney already in the possession of the receiving Offi ce, must
be furnished. The power of attorney must be signed by the
applicant, or if there is more than one applicant, by at least one
of them. If the power is not fi led with the request, the receiving
Offi ce will invite the applicant to furnish it, unless it has waived
the requirement for a separate power of attorney (for details
about each receiving Offi ce, see the PCT Applicant’s Guide,
Annex C).
SUPPLEMENTAL BOX
The cases in which the Supplemental Box may be used and
the manner of making indications in it are explained in the left
column of that Box.
Items 2 and 3: Even if an indication is made in respect of
items 2 and 3 under Rule 49bis.1(a), (b) or (d), the applicant
will be required to make an indication to this eff ect upon entry
into the national phase before the designated offi ces concerned.
If the applicant wishes to specify that the international
application be treated in any designated State as an application
for a utility model, see Notes to Box No. V.
GENERAL REMARKS
Language of Correspondence (Rule 92.2 and
Section 104): Any letter from the applicant to the receiving
Offi ce must be in the language of fi ling of the international
application provided that, where the international application
is to be published in the language of a translation required
under Rule 12.3, such letter should be in the language of that
translation; however, the receiving Offi ce may authorize the use
of another language.
Any letter from the applicant to the International Bureau must
be in the same language as the international application if that
language is English or French; otherwise, it must be in English
or French, at the choice of the applicant.
Any letter from the applicant to the ISA must be in the same
language as the international application, provided that, where
a translation of the international application for the purposes of
international search has been transmitted under Rule 23.1(b),
such letter is in the language of that translation. However, the
ISA may authorize the use of another language.
Arrangement of Elements and Numbering of Sheets of
the International Application (Rule 11.7 and Section 207):
The elements of the international application must be placed
in the following order: the request, the description (excluding
the sequence listing part, if any), the claim(s), the abstract, the
drawings (if any), the sequence listing part of the description
(if any).
All sheets of the description (excluding the sequence listing
part), claims and abstract must be numbered in consecutive
Arabic numerals, which must be placed at the top or bottom of
the sheet, in the middle, but not in the margin which must remain
blank. The number of each sheet of the drawings must consist
of two Arabic numerals separated by an oblique stroke, the fi rst
being the sheet number and the second being the total number of
sheets of drawings (for example, 1/3, 2/3, 3/3). For numbering
of the sheets of the sequence listing part of the description, see
Section 207.
Indication of the Applicant’s or Agent’s File Reference on
the sheets of the description (excluding the sequence listing part,
if any), claim(s), abstract, drawings and sequence listing part of
the description (Rule 11.6(f)): The fi le reference indicated on
the request may also be indicated in the left-hand corner of
the top margin, within 1.5 cm from the top of any sheet of the
international application.
Form PCT/RO/101 (Annex) (July 2020)
AUTHORIZATION TO CHARGE (OR CREDIT) DEPOSIT OR CURRENT ACCOUNT
(This mode of payment may not be available at all receiving Offi ces)
This sheet is not part of and does not count as a sheet of the international application.
Applicant
CALCULATION OF PRESCRIBED FEES
1. TRANSMITTAL FEE: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. SEARCH FEE: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
International search to be carried out by: _______
3. INTERNATIONAL FILING FEE
Date stamp of the receiving Offi ce
PCT
FEE CALCULATION SHEET
Annex to the Request
For receiving Offi ce use only
Applicant’s or agent’s fi le reference
Fixed amount for the fi rst 30 sheets . . . . . . . . .
See Notes to the fee calculation sheet
International Application No.
Add amounts entered at i1 and i2 and enter total at I: . . . . . . . . . . . . . . . . . . .
credit card (details should
not be included on this
sheet)
postal money order
authorization to charge deposit
or current account (see below)
check
bank transfer
revenue stamps
MODE OF PAYMENT (Not all modes of payment may be available at all receiving Offi ces)
TOTAL
7. TOTAL FEES PAYABLE . . . . . . . . . . . .
Add amounts entered at T, S, I, P, RP and ES,
and enter total in the TOTAL box
4. FEE FOR PRIORITY DOCUMENT (if applicable): . . . . . . . . . . . . . . . . . .
(Applicants from certain States are entitled to a reduction of 90% of the international fi ling fee (see
www.wipo.int/pct/en/fees/fee_reduction.pdf). Where the applicant is (or all applicants are) so entitled, the total
to be entered at I is 10% of the international fi ling fee.)
cash
other (specify):
Authorization to charge the total fees indicated above.
(This check-box may be marked only if the conditions for deposit or current
accounts of the receiving Offi ce so permit) Authorization to charge any
defi ciency or credit any overpayment in the total fees indicated above.
Authorization to charge the fee for priority document.
Receiving Offi ce: RO/ __________________________
Deposit or Current Account No.: __________________
Date: ________________________________________
Name: _______________________________________
Signature: ____________________________________
T
S
i2
I
P
i2
i1
i1
_________________ x __________________ =
number of sheets fee per sheet
in excess of 30
Enter total number of sheets indicated in Box No IX: _______
5. FEE FOR RESTORATION OF THE RIGHT OF PRIORITY (if
applicable): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
RP
6. FEE FOR EARLIER SEARCH DOCUMENTS (if applicable): . . . . . . . . .
ES
(Applicants may be entitled to a reduction of certain fees as indicated in the PCT Fee Tables
(www.wipo.int/pct/en/fees.pdf))
NOTES TO THE FEE CALCULATION SHEET
(ANNEX TO FORM PCT/RO/101)
The purpose of the fee calculation sheet is to help the applicant to identify the prescribed fees and to calculate the amounts to
be paid. It is strongly recommended that the applicant complete the sheet by entering the appropriate amounts in the boxes provided
and submit the fee calculation sheet at the time of fi ling the international application. This will help the receiving Offi ce to verify
the calculations and to identify any error in them.
Information about the applicable fees payable can be obtained from the receiving Offi ce and the International Bureau at
www.wipo.int/pct/en/fees.pdf. The amounts of the international fi ling and search fees may change due to currency fl uctuations.
Applicants are advised to check what are the latest applicable amounts. All fees, must be paid within one month from the date of
receipt of the international application.
CALCULATION OF PRESCRIBED FEES
Box T: Transmittal Fee for the benefi t of the receiving
Offi ce (Rule 14.1): The amount of the transmittal fee, if any, is
fi xed by the receiving Offi ce. It must be paid within one month
from the date of receipt of the international application by the
receiving Offi ce. Information about this fee is contained in the
PCT Applicant’s Guide, Annex C.
Box S: Search Fee for the benefi t of the International
Searching Authority (ISA) (Rule 16.1): The amount of the
search fee is fi xed by the ISA. It must be paid within one month
from the date of receipt of the international application by the
receiving Offi ce. Information about this fee is contained in the
PCT Applicant’s Guide, Annex D.
Where two or more ISAs are competent, the applicant must
indicate his choice in the space provided for this purpose and
pay the amount of the international search fee fi xed by the ISA
chosen. Information on the competent ISA and whether the
applicant has a choice between two or more ISAs is contained
in the PCT Applicant’s Guide, Annex C.
Box I: International Filing Fee: The amount of the
international fi ling fee depends on the number of sheets of the
international application indicated in Box No. IX of the request
as explained below.
That number is the Total number of sheets indicated in
Box No. IX of the request, which includes the actual number
of sheets of the sequence listing part of the description, if the
listing is fi led on paper and not as an Annex C/ST.25 text fi le.
___________________________________________________
For EFS-Web fi ling with RO/US
Nucleotide and/or amino acid sequences: via EFS-Web:
Where the international application is fi led via EFS-Web and
contains a sequence listing fi led in an Annex C/ST.25 text fi le,
even when, due to the size of the text fi le, the sequence listing
has to be submitted on a data carrier, no fee is due for fi ling the
sequence listing.
Where the sequences listing is an image
file (e.g. PDF) the actual number of sheets that make
up this part of the description must be included.
__________________________________________________
The international
fi ling fee must be paid within one month
from the date of receipt of the international application by the
receiving Offi ce.
Reductions: Applicants may be entitled to reductions
to certain fees, which are indicated in the PCT Fee Tables
(www.wipo.int/pct/en/fees.pdf) and the relevant Annex C of
the PCT Applicants Guide. If reduced fees apply, the reduced
amount should be indicated in the fee calculation sheet.
Notes to the fee calculation sheet (Annex to Form PCT/RO/101) (page 1) (July 2020)
These include reductions that apply where the international
application is fi led in electronic form and/or if the applicant is
a natural person from certain States. These two types of fees
reduction are fully explained below.
Reduction of the International Filing Fee Where the
International Application Is Filed in Electronic Form: Where
the international application is fi led in electronic form, the total
amount of the international fi ling fee is reduced depending on the
electronic formats used. The international fi ling fee is reduced
by: 100 Swiss francs (or the equivalent in the currency in which
the international fi ling fee is paid to the receiving Offi ce) in
respect of international applications where the request is not in
character coded format (see PCT Schedule of Fees, item 4(a));
200 Swiss francs (or the equivalent in the currency in which
the international fi ling fee is paid to the receiving Offi ce) where
the request is in character coded format (see PCT Schedule of
Fees, item 4(b)); and 300 Swiss francs (or the equivalent in
the currency in which the international fi ling fee is paid to the
receiving Offi ce) where the request, description, claims and
abstract are all in character coded format (see PCT Schedule
of Fees, item 4(c)). For further details, see the PCT Applicant’s
Guide, International Phase and Annex C, as well as information
published in the Offi cial Notices (PCT Gazette) and the PCT
Newsletter. Since international applications fi led in electronic
form will contain the Request Form and Fee Calculation Sheet in
such electronic form, no provision is made for this fee reduction
in the Fee Calculation Sheet annexed to Form PCT/RO/101.
Reduction of the International Filing Fee for Applicants
from Certain States: An applicant who is a natural person
and who is a national of and resides in a State that is listed as
being a State whose per capita gross domestic product is below
US$ 25,000 (according to the most recent ten year average per
capita gross domestic product fi gures at constant 2005 US$
values published by the United Nations), and whose nationals
and residents who are natural persons have fi led less than 10
international applications per year (per million population) or less
than 50 international applications per year (in absolute numbers)
according to the most recent 5-year average yearly fi ling fi gures
published by the International Bureau; or an applicant, whether
a natural person or not, who is a national of and resides in a
State that is listed as being classifi ed by the United Nations as
a least developed country, is entitled, in accordance with the
Schedule of Fees, to a reduction of 90% of certain PCT fees
including the international fi ling fee. The applicant is only
entitled to the reduction of the international fi ling fee if, at the
time of fi ling of the international application, the applicant is or
all applicants are the true and only owner(s) of the application
and under no obligation to assign, grant, convey or license the
rights in the invention to another party which is not eligible for
the fee reduction. If there are several applicants, each must
satisfy the above-mentioned criteria. If the applicant is or all
applicants are entitled to the reduction of the international fi ling
fee, this reduction applies on the basis of the indications of name,
nationality and residence given in Boxes Nos. II and III of the
request, without the need for a specifi c request to be made.
Notes to the fee calculation sheet (Annex to Form PCT/RO/101) (page 2) (July 2020)
page 2
The fee reduction is available even if one or more of the
applicants are not from PCT Contracting States, provided that
each of them is a national and resident of a State that meets
the above-mentioned requirements and that at least one of the
applicants is a national or resident of a PCT Contracting State
and thus is entitled to fi le an international application.
Information about PCT Contracting States whose nationals
and residents are entitled to a reduction of 90% of certain PCT
fees, including the international fi ling fee, is contained in the
PCT Applicant’s Guide, Annex C and on the WIPO website
(see www.wipo.int/pct/en/), and is also published and regularly
updated in the Offi cial Notices (PCT Gazette) and the PCT
Newsletter.
Calculation of the International Filing Fee in Case of
Fee Reduction: Where the applicant is (or all applicants are)
entitled to a reduction of the international fi ling fee, the total
to be entered in box I is 10% of the international fi ling fee (see
below).
Box P: Fee for Priority Document (Rule 17.1(b)): Where
the applicant has requested, by marking the applicable check-box
in Box No. VI of the request, that the receiving Offi ce prepare
and transmit to the International Bureau a certifi ed copy of the
earlier application the priority of which is claimed, the amount
of the fee prescribed by the receiving Offi ce for such service
may be entered (for information, see the PCT Applicant’s Guide,
Annex C).
If that fee is not paid at the latest before the expiration of
16 months from the priority date, the receiving Offi ce may
consider the request under Rule 17.1(b) as not having been
made.
Box RP: Fee for the restoration of the right of priority
(Rule 26bis.3(d)): Where the applicant has requested within the
applicable time limit under Rule 26bis.3(e) that the receiving
Offi ce restore the right of priority in connection with any earlier
application the priority of which is claimed in the international
application, the amount of the fee prescribed by the receiving
Offi ce for such service may be entered (for information, see the
PCT Applicant’s Guide, Annex C).
Box ES: Fee for earlier search documents (Rule 12bis.1(b)
and (d)): Where the applicant has requested, by marking the
appropriate check-box in item 1.2 of Continuation of Box No. VII,
of the request, that the receiving Offi ce prepare and transmit to the
ISA copies of the results of an earlier search, which are requested
by the applicant to be taken into consideration by the ISA (such
a request may only be fi led if the earlier search was carried out
by the same Offi ce as that which is acting as the receiving Offi ce
(Rule 12bis.1(b)) or where the earlier search results are otherwise
available to the receiving Offi ce (Rule 12bis.1(d)), the amount
of the fee prescribed by the receiving Offi ce for such service
may be entered (for information, see the PCT Applicant’s Guide,
Annex C).
Total Box: The total of the amounts entered in boxes T, S, I,
P, RP and ES should be entered in this box. If the applicant so
wishes, the currency, or currencies, in which the fees are paid
may be indicated next to or in the total box.
MODE OF PAYMENT
In order to help the receiving Offi ce identify the mode of
payment of the prescribed fees, it is recommended that the
applicable check-box(es) be marked. Credit card details should
not be included on the fee calculation sheet. They should be
furnished separately and by secure means acceptable to the
receiving Offi ce.
AUTHORIZATION TO CHARGE
(OR CREDIT) DEPOSIT OR CURRENT ACCOUNT
The receiving Offi ce will not charge (or credit) fees to
deposit or current accounts unless the deposit or current account
authorization is signed and indicates the deposit or current
account number.
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PCT REQUEST The undersigned requests that the present (World Intellectual Property Organization)

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Completed 25 November 2020

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