Chapter   1800  Patent Cooperation Treaty
---SECTION---INTRODUCTION

This chapter is designed to be a guide for patent examiners in searching
and examining applications filed under the Patent Cooperation Treaty
(PCT). Applicants desiring additional information for filing
international applications should obtain a copy of the PCT Applicant's
Guide from the World Intellectual Property Organization (WIPO) in
Geneva, Switzerland.

The Articles and Regulations under the PCT are reproduced in Annex T of
this Manual and the Administrative Instructions are reproduced in Annex
AI.

PCT applications are processed by the International Application
Processing Division within the U.S. Patent and Trademark Office.

---SECTION---1801 Basic Patent Cooperation Treaty  (PCT) Principles

MAJOR CONCEPTS OF THE PCT

The Patent Cooperation Treaty (PCT) enables the U.S. applicant to file
one application, "an international application", in a standardized
format in English in the U.S. Receiving Office (the U.S. Patent and
Trademark Office), and have that application acknowledged as a regular
national filing in as many member countries to the PCT as the applicant
"designates" or "elects," that is, names, as countries in which patent
protection is desired. In the same manner, the PCT enables foreign
applicants to file a PCT international application, designating the
United States of America, in their home language in their home patent
office and have the application acknowledged as a regular U.S. national
filing. The PCT also provides for a search and publication after 18
months from the priority date. Upon payment of national fees and the
furnishing of any required translation, usually 20 months after the
filing of any priority application for the invention, or the
international filing date if no priority is claimed, the application
will be subjected to national procedures for granting of patents in each
of the designated countries. If a demand for an international
preliminary examination is filed within 19 months from the priority
date, the period for entering the national stage is extended to 30
months from the priority date.

The PCT offers an alternative route to filing patent applications
directly in the patent offices of those countries which are members of
the PCT. It does not preclude taking advantage of the priority rights
and other advantages provided under the Paris Convention. The PCT
provides an additional and optional foreign filing route to patent
applicants.

The filing, search and publication procedures are provided for in
Chapter I of the PCT. Additional procedures for a preliminary
examination of PCT international applications are provided for in
optional PCT Chapter II.

In most instances a national U.S. application (NA) is filed first. An
international application for the same subject matter will then be filed
subsequently within the priority year provided by the Paris Convention
and the priority benefit of the U.S. national application filing date
will be claimed.

RECEIVING OFFICE (RO)

The international application (IA) must be filed in a receiving Office
(RO)(PCT Article 10). The United States Patent and Trademark Office will
act as a receiving Office for United States residents and nationals (35
U.S.C. 361(a)). Under PCT Rule 19.1(a)(iii), the International Bureau of
the World Intellectual Property Organization will also act as a
Receiving Office for U.S. residents and nationals. The receiving Office
functions as the filing and formalities review organization for
international applications. International applications must contain upon
filing the designation of at least one country in which patent
protection is desired and must meet certain standards for completeness
and formality (PCT Articles 11(1) and 14(1)).

Where a priority claim is made, the date of the earlier filed national
application is used as the date for determining the timing of
international processing, including the various transmittals, the
payment of certain international and national fees, and publication of
the application. Where no priority claim is made, the international
filing date will be considered to be the "priority date" for timing
purposes (PCT Article 2(xi)).

The international application is subject to the payment of certain fees
upon filing, or within 1 month thereafter, and at the expiration of 12
months from the priority date or within 1 month thereafter. The
receiving Office will grant an international filing date to the
application, collect fees, handle informalities by direct communication
with the applicant, and monitor all corrections (35 U.S.C. 361(d)). By
13 months from the priority date, the receiving Office should prepare
and transmit a copy of the international application, called the search
copy (SC), to the International Searching Authority (ISA); and forward
the original, called the record copy (RC), to the International Bureau
(IB) (PCT Rules 22.1 and 23). A second copy of the international
application, the home copy (HC), remains in the receiving Office (PCT
Article 12(1)). Once the receiving Office has transmitted copies of the
application, the International Searching Authority becomes the focus of
international processing.

INTERNATIONAL SERACHING AUTHORITY (ISA)

The basic function of the International Searching Authority (ISA) is to
conduct a prior art search of inventions claimed in international
applications; it does this by searching in at least the minimum
documentation defined by the Treaty (PCT Articles 15 and 16 and PCT Rule
34).  At the option of the applicant, either the U.S. Patent and
Trademark Office or the European Patent Office will act as an
International Searching Authority for international applications filed
in the United States Receiving Office. The International Searching
Authority is also responsible for checking the content of the title and
abstract (PCT Rules 37.2 and 38.2).  An international search report (SR)
will normally be issued by the International Searching Authority within
3 months from the receipt of the search copy (usually about 16 months
after the priority date)(PCT Rule 42). Copies of the International
Search Report and prior art cited will be sent to the applicant by the
ISA/US (PCT Rules 43 and 44.1).  The search report will contain a
listing of documents found to be relevant and will identify the claims
in the application to which they are pertinent.  However, no judgments
or statements as to patentability will be made (PCT Rule 43.9). Once the
international search report has been completed and transmitted,
international processing continues before the International Bureau.

INTERNATIONAL BUREAU (IB)

The basic functions of the International Bureau (IB) are to maintain the
master file of all international applications and to act as the
publisher and central coordinating body under the Treaty. The World
Intellectual Property Organization (WIPO) in Geneva, Switzerland
performs the duties of the International Bureau.

If the applicant has not filed a certified copy of the priority document
in the receiving Office with the international application, or requested
upon filing that the receiving Office prepare and transmit to the
International Bureau a copy of the prior U.S. national application, the
priority of which is claimed, the applicant must submit such a document
directly to the International Bureau or the receiving Office not later
than 16 months after the priority date (PCT Rule 17).  The Request form
contains a box which can be checked requesting that the receiving Office
prepare the certified copy. This is only possible, of course, if the
receiving Office is a part of the same national Office where the
priority application was filed.

The applicant has normally 2 months from the date of transmittal of the
International Search Report to amend the claims by filing an amendment
directly with the International Bureau (PCT Article 19 and PCT Rule 46).
The International Bureau will then normally publish the international
application along with the search report and any amended claims (Amdt)
at the expiration of 18 months from the priority date (PCT Article
21).The international publication is in pamphlet form with a front page
containing bibliographical data, the abstract, and a figure of the
drawing (PCT Rule 48). The pamphlet also contains the search report and
any amendments to the claims submitted by the applicant. If the
application is published in a language other than English, the search
report and abstract are also published in English. The International
Bureau publishes a PCT Gazette in the French and English languages which
contains information similar to that on the front pages of published
international applications, as well as various indexes and announcements
(PCT Rule 86).  The International Bureau also transmits copies of the
international application to all the designated Offices (PCT Article 20
and PCT Rule 47).

DESIGNATED OFFICE (DO) and ELECTED OFFICE (EO)

The designated Office is the national Office (for example, the USPTO)
acting for the state or region designated under Chapter I. Similarly,
the elected Office is the national Office acting for the state or region
elected under Chapter II.

If no "Demand" for international preliminary examination has been filed
within 19 months of the priority date, the applicant must complete the
requirements for entering the national stage within 20 months from the
priority date of the international application, unless the individual
designated Office grants additional time. The applicant also has the
right to amend the application within 1 month from the fulfillment of
the requirements under PCT Article 22. After this month has expired (PCT
Article 28 and PCT Rule 52), each designated Office will make its own
determination as to the patentability of the application based upon its
own specific national or regional laws (PCT Article 27(5)).

If the applicant desires to obtain the benefit of delaying the entry
into the national stage until 30 months from the priority date, a Demand
for international preliminary examination must be filed with an
appropriate International Preliminary Examining Authority within 19
months of the priority date. Those states in which the Chapter II
procedure is desired must be "elected" in the Demand.

The original Demand is forwarded to the International Bureau by the
International Preliminary Examining Authority. The International Bureau
then notifies the various elected Offices that the applicant has entered
Chapter II and that the application should not be considered withdrawn
for failure to enter the national stage within 20 months from the
priority date.

The examiner of the International Preliminary Examining Authority may
comment on lack of unity of invention, note errors, and issue a written
"opinion" as to whether each claim is "novel", involves "inventive
step", and is "industrially applicable."  If a written "opinion" is
issued by the examiner, the applicant may reply to the opinion by
arguments and amendments within the time period set for reply. The
examiner will then issue the international preliminary examination
report which presents the examiner's final position as to whether each
claim is "novel", involves "inventive step", and is "industrially
applicable" by 28 months from the priority date. A copy of the
international preliminary examination report is sent to the applicant
and to the International Bureau. The International Bureau then
communicates a copy of the international preliminary examination report
to each elected Office.

The applicant must complete the requirements for entering the national
stage by the expiration of 30 months from the priority date to avoid any
question of withdrawal of the application as to that elected Office.

---SECTION---1802 PCT Definitions

The PCT contains definitions in PCT Article 2 and in PCT Rule 2, which
are found in MPEP Annex T.  Additional definitions are found in  35
U.S.C. 351, MPEP Annex L,  37 CFR 1.401, MPEP Annex R, Section 101 of
the PCT Administrative Instructions and MPEP Annex AI.

---SECTION---1803 Reservations Under the PCT Taken by the United States
of America

The United States of America had originally declared that it was not
bound by Chapter II (PCT Article 64 (1)), but withdrew that reservation
on July 1, 1987.

It has also declared that, as far as the United States of America is
concerned, international publication is not required (PCT Article 64
(3)). The United States of America also made a reservation under PCT
Article 64(4) which relates to the prior art effective date of a U.S.
patent issuing from an international application.  See  35 U.S.C. 102(e)
and 363. These reservations are still in effect.

---SECTION---1805 Where to File an International Application

35 U.S.C. 361 Receiving Office.

(a)	The Patent and Trademark Office shall act as a Receiving Office for
international applications filed by nationals or residents of the United
States. In accordance with any agreement made between the United States
and another country, the Patent and Trademark Office may also act as a
Receiving Office for international applications filed by residents or
nationals of such country who are entitled to file international
applications.

See  37 CFR 1.421 - 1.425 as to who can file an international
application.

Only if at least one of the applicants is a resident or national of the
United States of America may an international application be filed in
the United States Receiving Office (PCT Article 9(1) and (3), PCT Rules
19.1 and 19.2,  35 U.S.C. 361(a) and  37 CFR 1.412(a), 1.421).  The
concepts of residence and nationality are defined in PCT Rules 18.1 and
18.2.  For the purpose of filing an international application, the
applicant may be either the inventor or the successor in title of the
inventor (assignee or owner). However, the laws of the various
designated States regarding the requirements for applicants must also be
considered when filing an international application.  For example, the
patent law of the United States of America requires that, for the
purposes of designating the United States of America, the applicant(s)
must be the inventor(s) (35 U.S.C. 373, PCT Article 27(3)).

The United States Receiving Office is located in Crystal Plaza, Building
2, 8th floor, 2011 Jefferson Davis Highway, Arlington, Virginia.
International applications and related papers may be deposited directly
with the United States Receiving Office or be mailed to: Assistant
Commissioner for Patents, Box PCT, Washington, D.C. 20231.  It should be
noted that the "Express Mail" provisions of  37 CFR 1.10 apply to the
filing of all applications and papers filed in the U.S. Patent and
Trademark Office, including PCT international applications and related
papers and fees.  It should be further noted, however, that PCT
international applications and papers relating to international
applications are specifically excluded from the Certificate of Mailing
or Transmission procedures under  37 CFR 1.8.  This means, for example,
that a Demand for international preliminary examination cannot be filed
using the Certificate of Mailing or Transmission practice under  37 CFR
1.8 if the date of mailing is the date needed for official purposes. If 
37 CFR 1.8 is improperly used, the date to be accorded the paper will be
the date of actual receipt in the Office unless the receipt date falls
on a Saturday, Sunday, or Federal holiday in which case the date of
receipt will be the next succeeding day which is not a Saturday, Sunday,
or Federal holiday (37 CFR 1.6(a)(3)). 

Irrespective of the Certification practice under  37 CFR 1.8(a),
facsimile transmission (without the benefit of the certificate under  37
CFR 1.8(a)) may be used to submit certain papers in international
applications. However, facsimile transmission may not be used for the
filing of an international application, the filing of drawings under  37
CFR 1.437, or the filing of a copy of the international application, and
the basic national fee to enter the U.S. national stage under  35 U.S.C.
371.  See  37 CFR 1.6(d)(3) and (4), 1.8(a)(2)(i)(D), and
1.8(a)(2)(i)(F). The Demand for international preliminary examination
may be filed by facsimile transmission. See MPEP Section  1834.01.

The United States Receiving Office staff is available to offer guidance
on PCT requirements and procedures. See MPEP Section  1730 for
information on contacting the staff and other available means for
obtaining information.

WARNING - although the United States patent law at  35 U.S.C. 21(a)
authorizes the Commissioner to prescribe by rule that any paper or fee
required to be filed in the Patent and Trademark Office will be
considered filed in the Office on the date on which it was deposited
with the United States Postal Service, PCT Rule 20.1(a) provides for
marking the "date of actual receipt on the request." Although the
"Express Mail" provisions under  37 CFR 1.10 have not been contested to
date regarding PCT applications, applicants should be aware of a
possible different interpretation by foreign authorities.

PCT Rule 19.4 provides for transmittal of an international application
to the International Bureau as Receiving Office in certain instances.
For example, when the international application is filed with the United
States Receiving Office and the language in which the international
application is filed is not accepted by the United States Receiving
Office, or if the applicant does not have the requisite residence or
nationality, the application may be forwarded to the International
Bureau for processing in its capacity as a Receiving Office. See Interim
rule  37 CFR 1.412(c)(6).  The Receiving Office of the International
Bureau will consider the international application to be received as of
the date accorded by the United States Receiving Office. This practice
will avoid the loss of a filing date in those instances where the United
States Receiving Office is not competent to act, but where the
international application indicates an applicant to be a national or
resident of a PCT Contracting state or is in a language accepted under
PCT Rule 12.1(a) by the International Bureau as a Receiving Office. Of
course, where questions arise regarding residence or nationality, i.e.,
the U.S. is not clearly competent, the application will be forwarded to
the International Bureau as Receiving Office.  Note, where no residence
or nationality is indicated, the U.S. is not competent, and the
application will be forwarded to the International Bureau as Receiving
Office so long as the necessary fee is paid.  The fee is an amount equal
to the transmittal fee.

If all of the applicants are indicated to be residents or nationals of
non-PCT Contracting States, PCT Rule 19.4 does not apply, and the
application is denied an international filing date.

---SECTION---1807 Agent or Common Representative and, General Power of
Attorney

37 CFR 1.455 Representation in international applications.

(a) Applicants of international applications may be represented by
attorneys or agents registered to practice before the Patent and
Trademark Office or by an applicant appointed as a common representative
(PCT Art. 49, Rules 4.8 and 90 and Section  10.10).  If applicants have
not appointed an attorney or agent or one of the applicants to represent
them, and there is more than one applicant, the applicant first named in
the request and who is entitled to file in the U.S. Receiving Office
shall be considered to be the common representative of all the
applicants.  An attorney or agent having the right to practice before a
national office with which an international application is filed and for
which the United States is an International Searching Authority or
International Preliminary Examining Authority may be appointed to
represent the applicants in the international application before that
authority. An attorney or agent may appoint an associate attorney or
agent who shall also then be of record (PCT Rule 90.1(d)).  The
appointment of an attorney or agent, or of a common representative,
revokes any earlier appointment unless otherwise indicated (PCT Rule
90.6(b) and (c)).

(b) Appointment of an agent, attorney or common representative (PCT Rule
4.8) must be effected either in the Request form, signed by all
applicants, or in a separate power of attorney submitted either to the
United States Receiving Office or to the International Bureau.

(c) Powers of attorney and revocations thereof should be submitted to
the United States Receiving Office until the issuance of the
international search report.

(d) The addressee for correspondence will be as indicated in section 108
of the Administrative Instructions.

Where an appointment of an agent or common representative is effected by
a separate power of attorney, that power of attorney must be submitted
to either the receiving Office or the International Bureau.  However, a
power of attorney appointing an agent or subagent to represent the
applicant specifically before the International Searching Authority or
the International Preliminary Examining Authority must be submitted
directly to that Authority.

 "GENERAL" POWER OF ATTORNEY

"General" powers of attorney are recognized for the purpose of filing
and prosecuting an international application before the international
authorities.  The original general power of attorney should be deposited
with the International Application Processing Division which is the
central focus for PCT matters throughout the Office. Any applications
relying thereon must include a copy thereof. A general power of attorney
form is provided in the annex to the PCT Applicant's Guide.

Any general power of attorney must be filed with the receiving Office if
the appointment was for the purposes of the international phase
generally, or with the International Searching Authority or
International Preliminary Examining Authority if the appointment was
specifically to represent the applicant before that Authority. The
appointment will then be effective in relation to any particular
application filed by that applicant provided that the general power of
attorney is referred to in the request, the Demand or a separate notice,
and that a copy of the general power of attorney is attached to that
request, Demand or separate notice. That copy of the signed original
need not, itself, be separately signed.  See Annex Z of the PCT
Applicant's Guide for a suitable model form for a general power of
attorney. The PCT Applicant's Guide is available from the International
Bureau in Geneva, Switzerland.

---SECTION---1808 Change in or Revocation of the Appointment of an Agent
or a Common Representative Rule 90 Agents and Common Representatives

                  +++    

90.6. Revocation and Renunciation

(a) Any appointment of an agent or common representative may be revoked
by the persons who made the appointment or by their successors in title,
in which case any appointment of a sub-agent under Rule 90.1(d) by that
agent shall also be considered as revoked.  Any appointment of a
sub-agent under Rule 90.1(d) may also be revoked by the applicant
concerned.

(b) The appointment of an agent under Rule 90.1(a) shall, unless
otherwise indicated, have the effect of revoking any earlier appointment
of an agent made under that Rule.

(c) The appointment of a common representative shall, unless otherwise
indicated, have the effect of revoking any earlier appointment of a
common representative.

(d) An agent or a common representative may renounce his appointment by
a notification signed by him.

(e) Rule 90.4(b) and (c) shall apply, mutatis mutandis, to a document
containing a revocation or renunciation under this Rule.

37 CFR 1.455 Representation in international applications.

(a) Applicants of international applications may be represented by
attorneys or agents registered to practice before the Patent and
Trademark Office or by an applicant appointed as a common representative
(PCT Art. 49, Rules 4.8 and 90 and Section  10.10). If applicants have
not appointed an attorney or agent or one of the applicants to represent
them, and there is more than one applicant, the applicant first named in
the request and who is entitled to file in the U.S. Receiving Office
shall be considered to be the common representative of all the
applicants. An attorney or agent having the right to practice before a
national office with which an international application is filed and for
which the United States is an International Searching Authority or
International Preliminary Examining Authority may be appointed to
represent the applicants in the international application before that
authority. An attorney or agent may appoint an associate attorney or
agent who shall also then be of record (PCT Rule 90.1(d)). The
appointment of an attorney or agent, or of a common representative,
revokes any earlier appointment unless otherwise indicated (PCT Rule
90.6(b) and (c)).

(b) Appointment of an agent, attorney or common representative (PCT Rule
4.8) must be effected either in the Request form, signed by all
applicants, or in a separate power of attorney submitted either to the
United States Receiving Office or to the International Bureau.

(c) Powers of attorney and revocations thereof should be submitted to
the United States Receiving Office until the issuance of the
international search report.

(d) The addressee for correspondence will be as indicated in section 108
of the Administrative Instructions.

The appointment of an agent or a common representative can be revoked. 
The document containing the revocation must be signed by the persons who
made the appointment or by their successors in title. The appointment of
a sub-agent may also be revoked by the applicant concerned. If the
appointment of an agent is revoked, any appointment of a sub-agent by
that agent is also considered revoked.

The appointment of an agent for the international phase in general
automatically has the effect, unless otherwise indicated, of revoking
any earlier appointment of an agent. The appointment of a common
representative similarly has the effect, unless otherwise indicated, of
revoking any earlier appointment of a common representative.

The rules for signing and submission of a power of attorney also apply
to a revocation of an appointment.

Renunciation of an appointment may be made by means of a notification
signed by the agent or common representative. The rules for signing and
submission of a power of attorney apply also to a renunciation. The
applicant is informed of the renunciation by the International Bureau.

U.S. attorneys or agents wishing to withdraw from representation in
international applications may request to do so. To expedite the
handling of requests for permission to withdraw as attorney, the request
should be submitted in triplicate (original and two copies) to Box PCT
and should indicate the present mailing addresses of the attorney who is
withdrawing and of the applicant. Because the Patent and Trademark
Office (PTO) does not recognize law firms, each attorney of record must
sign the notice of withdrawal, or the notice of withdrawal must contain
a clear indication of one attorney signing on behalf of another.

The PTO usually requires that there be at least 30 days between approval
of withdrawal and the expiration date of a time response period so that
the applicant will have sufficient time to obtain other representation
or take other action. If less than 30 days remains in a running response
period, a request to withdraw is normally disapproved.

For withdrawal of attorney or agent in the national stage, see MPEP
Section  402.06.

---SECTION---1810 Filing Date Requirements Article 11 Filing Date and
Effects of the International Application

(1) The receiving Office shall accord as the international filing date
the date of receipt of the international application, provided that that
Office has found that, at the time of receipt:

(i) the applicant does not obviously lack, for reasons of residence or
nationality, the right to file an international application with the
receiving Office,

(ii) the international application is in the prescribed language,

(iii) the international application contains at least the following
elements:

(a) an indication that it is intended as an international application,

(b) the designation of at least one Contracting State,

(c) the name of the applicant, as prescribed,

(d) a part which on the face of it appears to be a description,

(e) a part which on the face of it appears to be a claim or claims.

35 U.S.C. 363 International application designating the United States:
Effect.

An international application designating the United States shall have
the effect, from its international filing date under article 11 of the
treaty, of a national application for patent regularly filed in the
Patent and Trademark Office except as otherwise provided in section
102(e) of this title.

35 U.S.C. 373 Improper Applicant.

An international application designating the United States, shall not be
accepted by the Patent and Trademark Office for the national stage if it
was filed by anyone not qualified under chapter 11 of this title to be
an applicant for the purpose of filing a national application in the
United States. Such international applications shall not serve as the
basis for the benefit of an earlier filing date under section 120 of
this title in a subsequently filed application, but may serve as the
basis for a claim of the right of priority under section 119 of this
title, if the United States was not the sole country designated in such
international application.

37 CFR 1.431 International application requirements.

(a) An international application shall contain, as specified in the
Treaty and the Regulations, a Request, a description, one or more
claims, an abstract, and one or more drawings (where required). (PCT
Art. 3(2) and Section 207 of the Administrative Instructions.)

(b) An international filing date will be accorded by the United States
Receiving Office, at the time of receipt of the international
application, provided that:

(1) At least one applicant (Section  1.421) is a United States resident
or national and the papers filed at the time of receipt of the
international application so indicate (35 U.S.C. 361(a), PCT Art.
11(1)(i)).

(2) The international application is in the English language (35 U.S.C.
361(c), PCT Art. 11(1)(ii)).

(3) The international application contains at least the following
elements (PCT Art. 11(1)(iii)):

(i) An indication that it is intended as an international application
(PCT Rule 4.2);

(ii) The designation of at least one Contracting State of the
International Patent Cooperation Union (Section  1.432);

(iii) The name of the applicant, as prescribed (note Section Section 
1.421-1.424);

(iv) A part which on the face of it appears to be a description; and

(v) A part which on the face of it appears to be a claim.

(c) Payment of the basic portion of the international fee (PCT Rule
15.2) and the transmittal and search fees (Section  1.445) may be made
in full at the time the international application papers required by
paragraph (b) of this section are deposited or within one month
thereafter. The basic, transmittal, and search fee payable is the basic,
transmittal, and search fee in effect on the receipt date of the
international application.

(1) If the basic, transmittal and search fees are not paid within one
month from the date of receipt of the international application and
prior to the sending of a notice of deficiency, applicant will be
notified and given one month within which to pay the deficient fees plus
a late payment fee equal to the greater of:

(i) Fifty percent of the amount of the deficient fees up to a maximum
amount equal to the basic fee; or

(ii) An amount equal to the transmittal fee (PCT Rule 16bis).

(2) The one-month time limit set pursuant to this paragraph to pay
deficient fees may not be extended.

(d) If the payment needed to cover the transmittal fee, the basic fee,
the search fee, one designation fee and the late payment fee pursuant to
paragraph (c) of this section is not timely made in accordance with PCT
Rule 16bis.1(e), the Receiving Office will declare the international
application withdrawn under PCT Article 14(3)(a).

THE "INTERNATIONAL FILING DATE"

An international filing date is accorded on the date on which the
international application was received by the receiving Office or
pursuant to the correction of defects on a later date (PCT Articles
11(1) and 11(2)(b) and PCT Rules 20.1, 20.3, 20.4(a), 20.5, and 20.6):
in the former case, the international filing date will be the date on
which the international application was received by the receiving
Office; in the latter case, the international filing date will be the
date on which the correction was received by the receiving Office. Any
correction must be submitted by the applicant within certain time
limits. Where all the sheets pertaining to the same international
application are not received on the same day by the receiving Office, in
most instances, the date of receipt of the application will be amended
to reflect the date on which the last missing sheets were received. As
an amended date of receipt may cause the priority claim to be forfeited,
applicants should assure that all sheets of the application are
deposited with the receiving Office on the same day. For particulars see
PCT Rule 20.2.

An all too common occurrence is that applicants will file an
international application in the U.S. Receiving Office and no applicant
has a U.S. residence or nationality. Applicants are cautioned to be sure
that at least one applicant is a resident or national of the U.S. before
filing in the U.S. Receiving Office. Where no applicant indicated on the
request papers is a resident or national of the United States, the
application is not entitled to a filing date since the applicant(s)
obviously lacks the right to file in the U.S. Receiving Office. Such
applicant is notified pursuant to PCT Article 11(2)(a) that, at the time
of receipt, the applicant obviously lacked under Article 11(1)(i) the
right to file based upon residence or nationality.  A timely reply to
such notice results in applicant being accorded a filing date under
Article 11(2)(b) as of the date of the reply if applicant establishes
residence or nationality in the United States. See  35 U.S.C. 373.

---SECTION---1812 Elements of the International Application Article 3
The International Application

(1) Applications for the protection of inventions in any of the
Contracting States may be filed as international applications under this
Treaty.

(2) An international application shall contain, as specified in this
Treaty and the Regulations, a request, a description, one or more
claims, one or more drawings (where required), and an abstract.

(3) The abstract merely serves the purpose of technical information and
cannot be taken into account for any other purpose, particularly not for
the purpose of interpreting the scope of the protection sought.

(4) The international application shall:

(i) be in a prescribed language;

(ii) comply with the prescribed physical requirements;

(iii) comply with the prescribed requirement of unity of invention;

(iv) be subject to the payment of the prescribed fees.

Any international application must contain the following elements:
request, description, claim or claims, abstract and one or more drawings
(where drawings are necessary for the understanding of the invention
(PCT Article 3(2) and PCT Article 7(2)). The elements of the
international application are to be arranged in the following order: the
request, the description (other than any sequence listing part thereof),
the claims, the abstract, the drawings, and the sequence listing part of
the description (where applicable) (PCT Administrative Instructions,
Section 207(a)). All the sheets contained in the international
application must be numbered in consecutive Arabic numerals by using the
following separate series of numbers: a first series applying to the
request; a second series to the description, claims and abstract; a
third series to the drawings (where applicable); and a further series to
the sequence listing part of the description (where applicable) (PCT
Rule 11.7 and PCT Administrative Instructions Section 207(b)). Only one
copy of the international application need be filed in the United States
Receiving Office (37 CFR 1.433(a)). The request is made on a
standardized form (Form PCT/RO/101), copies of which can be obtained
from the PTO. Letters requesting forms should be addressed "Box PCT." 
The "Request" form can now be presented as a computer printout. The
details of a computer generated Request form are provided in
Administrative Instructions Section 102.

---SECTION---1817 PCT Member States

The following is a list of PCT Member States:



State	Ratification, Accession or Declaration	Date of Ratification, 
Accession or Declaration	Date From Which State May Be Designated

 (1)	Central African Republicø	Accession	September 1971	01 June 1978

 (2)	Senegalø	Ratification	08 March 1972	01 June 1978

 (3)	Madagascar	Ratification	27 March 1972	01 June 1978

 (4)	Malawi	Accession	16 May 1972	01 June 1978

 (5)	Cameroonø	Accession	15 March 1973	01 June 1978

 (6)	Chadø	Accession	12 February 1974	01 June 1978

 (7)	Togoø	Ratification	28 January 1975	01 June 1978

 (8)	Gabonø	Accession	06 March 1975	01 June 1978

 (9)	United States of America	Ratification	26 November 1975	01 June 1978

 (10)	Germanyøø	Ratification	19 July 1976	01 June 1978

 (11)	Congoø	Accession	08 August 1977	01 June 1978

 (12)	Switzerlandøø	Ratification	14 September 1977	01 June 1978

 (13)	United Kingdomøø	Ratification	24 October 1977	01 June 1978

 (14)	Franceøø	Ratification	25 November 1977	01 June 1978

 (15)	Russian Federation	Ratification	29 December 1977	01 June 1978

 (16)	Brazil	Ratification	09 January 1978	01 June 1978

 (17)	Luxembourgøø	Ratification	31 January 1978	01 June 1978

 (18)	Swedenøø	Ratification	17 February 1978	01 June 1978

 (19)	Japan	Ratification	01 July 1978	01 October 1978

 (20)	Denmarkøø	Ratification	01 September  1978	01 December 1978

 (21)	Austriaøø	Ratification	23 January 1979	23 April 1979

 (22)	Monaco	Ratification	22 March 1979	22 June 1979

 (23)	Netherlandsøø	Ratification	10 April 1979	10 July 1979

 (24)	Romania	Accession	23 April 1979	23 July 1979

 (25)	Norway	Ratification	01 October 1979	01 January 1980

 (26)	Liechtensteinøø	Accession	19 December 1979	19 March 1980

 			Continued on next page

 (27)	Australia	Accession	31 December 1979	31 March 1980

 (28)	Hungary	Ratification	27 March 1980	27 June 1980

 (29)	Democratic People's Republic  	of Korea (North Korea )	Accession	
08 April 1980	08 July 1980

 (30)	Finlandøø	Ratification	01 July 1980	01 October 1980

 (31)	Belgiumøø	Ratification	14 September 1981	14 December 1981

 (32)	Sri Lanka	Ratification	26 November 1981	26 February 1982

 (33)	Mauritania	Accession	13 January 1983	13 April 1983

 (34)	Sudan	Accession	16 January 1984	16 April 1984

 (35)	Bulgaria	Accession	21 February 1984	21 May 1984

 (36)	Republic of Korea (South  	Korea)	Accession	10 May 1984	19 October
1984

 (37)	Maliø	Accession	19 July 1984	19 October 1984

 (38)	Barbados	Accession	12 December 1984	12 March 1985

 (39)	Italyøø	Ratification	28 December 1984	28 March 1985

 (40)	Beninø	Accession	26 November 1986	26 February 1987

 (41)	Burkina Fasoø	Accession	21 December 1988	21 March 1989

 (42)	Spainøø 	Accession	16 August 1998	16 November 1989

 (43)	Canada	Ratification	02 October 1989	02 January 1990

 (44)	Greeceøø 	Accession	09 July 1990	09 October 1990

 (45)	Poland	Accession	25 September 1990	25 December 1990

 (46)	C&ocirc;te d'Ivoireø	Accession	30 January 1991	30 April 1991

 (47)	Czech Republic	Declaration	18 December 1992	01 January 1993

 (48)	Guineaø	Accession	27 February 1991	27 May 1991

 (49)	Mongolia	Accession	27 February 1991	27 May 1991

 (50)	Irelandøø	Ratification	01 May 1992	01 August 1992

 (51)	New Zealand	Accession	01 September 1992	01 December 1992

 (52)	Portugaløø 	Accession	24 August 1992	24 November 1992

 (53)	Ukraine	Accession	21 September 1992	21 September 1992

 			Continued on next page

 (54)	Slovakia	Declaration	30 December 1992	01 January 1993

 (55)	Viet Nam	Accession	10 December 1992	10 March 1993

 (56)	Niger	Accession	21 December 1992	21 March 1993

 (57)	Kazakstan	Declaration	16 February 1993	25 December 1991

 (58)	Belarus	Declaration	14 April 1993	25 December 1991

 (59)	Latvia	Accession	07 June 1993	07 September 1993

 (60)	Uzbekistan	Declaration	18 August 1993	25 December 1991

 (61)	China	Accession	01 October 1993	01 January 1994

 (62)	Slovenia	Accession	01 December 1993	01 March 1994

 (63)	Trinidad and Tobago	Accession	10 December 1993	10 March 1994

 (64)	Georgia	Declaration	18 January 1994	25 December 1991

 (65)	Kyrgyzstan	Declaration	14 February 1994	25 December 1991

 (66)	Republic of Moldova	Declaration	14 February 1994	25 December 1991

 (67)	Tajikistan	Declaration	14 February 1994	25 December 1991

 (68) 	Kenya	Accession	08 March 1994	08 June 1994

 (69)	Lithuania	Accession	05 April 1994	05 July 1994

 (70)	Armenia	Declaration	17 May 1994	25 December 1991

 (71)	Estonia	Accession	24 May 1994	24 August 1994

 (72)	Liberia	Accession	27 May 1994	27 August 1994

 (73)	Swaziland	Accession	20 June 1994	20 September 1994

 (74)	Mexico	Accession	01 October 1994	01 January 1995

 (75)	Uganda	Accession	09 November 1994	09 February 1995

 (76)	Singapore	Accession	23 November 1994	23 February 1995

 (77)	Iceland	Accession	23 December 1994	23 March 1995

 (78)	Turkmenistan	Declaration	01 March 1995	25 December 1991

 (79)	The former Yugoslov Republic 	of Macedonia	Accession	10 May 1995	
10  August  1995

 (80)	Albania	Accession	04 July 1995	04 October 1995

 			Continued on next page

 (81)	Lesotho	Accession	21 July 1995	21 October 1995

 (82)	Azerbaijan	Accession	25 September 1995	25 December 1995

 (83)	Turkey	Accession	01 October 1995	01 January 1996

 (84)	Israel	Ratification	01 March 1996	01 June 1996

 (85)	Cuba 	Accession	16 April 1996	16 July 1996

 (86)	Saint Lucia	Accession 	30 May 1996	30 August 1996

 (87)	Bosnia and Herzegovina	Accession	07 June 1996	07 September 1997

 (88)	Federal Republic of  	Yugoslavia	Ratification	01 November 1996	01
February 1997

 (89)	Ghana	Accession	26 November 1996	16 February 1997

 (90)	Zimbabwe	Accession	11 March 1997	11 June 1997

 (91)	Sierra Leone	Accession	17 March 1997	17 June 1997

 (92)	Indonesia	Accession	05 June 1997	05 September 1997

 (93)	Gambia	Accession	09 September 1997	09 December 1997

 (94)	Guinea-Bissau	Accession	12 September 1997	12 December 1997

 ø&Mgr;&epsiv;&micro;&bgr;&epsiv;&rho;&sigma; &ogr;&phis;
&Agr;&phis;&rho;&iota;&chi;&alpha;
&Igr;&ngr;&tgr;&epsiv;&lgr;&lgr;&epsiv;&chi;&tgr;&ugr;&alpha;&lgr;
&Pgr;&rho;&ogr;&pgr;&epsiv;&rho;&tgr;&psi;
&Ogr;&rho;&ggr;&alpha;&ngr;&iota;&zgr;&alpha;&tgr;&iota;&ogr;&ngr;
(&Ogr;&Agr;&Pgr;&Igr;) &rho;&epsiv;&ggr;&iota;&ogr;&ngr;&alpha;&lgr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;
&sigma;&psi;&sigma;&tgr;&epsiv;&micro;. &Ogr;&ngr;&lgr;&psi;
&rho;&epsiv;&ggr;&iota;&ogr;&ngr;&alpha;&lgr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;
&pgr;&rho;&ogr;&tgr;&epsiv;&chi;&tgr;&iota;&ogr;&ngr; &iota;&sigma;
&alpha;&piv;&alpha;&iota;&lgr;&alpha;&bgr;&lgr;&epsiv; &phis;&ogr;&rho;
&Ogr;&Agr;&Pgr;&Igr; &micro;&epsiv;&micro;&bgr;&epsiv;&rho;
&sigma;&tgr;&alpha;&tgr;&epsiv;&sigma;. &Agr;
&delta;&epsiv;&sigma;&iota;&ggr;&ngr;&alpha;&tgr;&iota;&ogr;&ngr;
&ogr;&phis; &alpha;&ngr;&psi; &sigma;&tgr;&alpha;&tgr;&epsiv;
&iota;&sigma; &alpha;&ngr;
&iota;&ngr;&delta;&iota;&chi;&alpha;&tgr;&iota;&ogr;&ngr;
&tgr;&eegr;&alpha;&tgr; &alpha;&lgr;&lgr; &Ogr;&Agr;&Pgr;&Igr;
&sigma;&tgr;&alpha;&tgr;&epsiv;&sigma; &eegr;&alpha;&piv;&epsiv;
&bgr;&epsiv;&epsiv;&ngr;
&delta;&epsiv;&sigma;&iota;&ggr;&ngr;&alpha;&tgr;&epsiv;&delta;.
&Ngr;&ogr;&tgr;&epsiv;: &ogr;&ngr;&lgr;&psi; &ogr;&ngr;&epsiv;
&delta;&epsiv;&sigma;&iota;&ggr;&ngr;&alpha;&tgr;&iota;&ogr;&ngr;
&phis;&epsiv;&epsiv; &iota;&sigma; &delta;&ugr;&epsiv;
&rho;&epsiv;&ggr;&alpha;&rho;&delta;&lgr;&epsiv;&sigma;&sigma;
&ogr;&phis; &tgr;&eegr;&epsiv; &ngr;&ugr;&micro;&bgr;&epsiv;&rho;
&ogr;&phis; &Ogr;&Agr;&Pgr;&Igr; &micro;&epsiv;&micro;&bgr;&epsiv;&rho;
&sigma;&tgr;&alpha;&tgr;&epsiv;&sigma;
&delta;&epsiv;&sigma;&iota;&ggr;&ngr;&alpha;&tgr;&epsiv;&delta;.

 øø&Mgr;&epsiv;&micro;&bgr;&epsiv;&rho;&sigma; &ogr;&phis;
&Egr;&ugr;&rho;&ogr;&pgr;&epsiv;&alpha;&ngr;
&Pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;
&KHgr;&ogr;&ngr;&piv;&epsiv;&ngr;&tgr;&iota;&ogr;&ngr;
(&Egr;&Pgr;&KHgr;) &rho;&epsiv;&ggr;&iota;&ogr;&ngr;&alpha;&lgr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;
&sigma;&psi;&sigma;&tgr;&epsiv;&micro;.
&Egr;&iota;&tgr;&eegr;&epsiv;&rho;
&ngr;&alpha;&tgr;&iota;&ogr;&ngr;&alpha;&lgr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;&sigma; &ogr;&rho;
&Egr;&ugr;&rho;&ogr;&pgr;&epsiv;&alpha;&ngr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;&sigma; &phis;&ogr;&rho;
&micro;&epsiv;&micro;&bgr;&epsiv;&rho;
&Sigma;&tgr;&alpha;&tgr;&epsiv;&sigma; &alpha;&rho;&epsiv;
&alpha;&piv;&alpha;&iota;&lgr;&alpha;&bgr;&lgr;&epsiv;
&tgr;&eegr;&rho;&ogr;&ugr;&ggr;&eegr; &Pgr;&KHgr;&Tgr;,
&epsiv;&xgr;&chi;&epsiv;&pgr;&tgr; &phis;&ogr;&rho;
&Bgr;&epsiv;&lgr;&ggr;&iota;&ugr;&micro;,
&Phi;&rho;&alpha;&ngr;&chi;&epsiv;,
&Ggr;&rho;&epsiv;&epsiv;&chi;&epsiv;,
&Igr;&rho;&epsiv;&lgr;&alpha;&ngr;&delta;, &Igr;&tgr;&alpha;&lgr;&psi;,
&Mgr;&ogr;&ngr;&alpha;&chi;&ogr;, &alpha;&ngr;&delta;
&Ngr;&epsiv;&tgr;&eegr;&epsiv;&rho;&lgr;&alpha;&ngr;&delta;&sigma;,
&phis;&ogr;&rho; &ohgr;&eegr;&iota;&chi;&eegr; &ogr;&ngr;&lgr;&psi;
&Egr;&ugr;&rho;&ogr;&pgr;&epsiv;&alpha;&ngr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;&sigma; &alpha;&rho;&epsiv;
&alpha;&piv;&alpha;&iota;&lgr;&alpha;&bgr;&lgr;&epsiv; &iota;&phis;
&tgr;&eegr;&epsiv; &Pgr;&KHgr;&Tgr; &iota;&sigma;
&ugr;&sigma;&epsiv;&delta;. &Ngr;&ogr;&tgr;&epsiv;: &ogr;&ngr;&lgr;&psi;
&ogr;&ngr;&epsiv; &Pgr;&KHgr;&Tgr;
&delta;&epsiv;&sigma;&iota;&ggr;&ngr;&alpha;&tgr;&iota;&ogr;&ngr;
&phis;&epsiv;&epsiv; &iota;&sigma; &delta;&ugr;&epsiv; &iota;&phis;
&Egr;&ugr;&rho;&ogr;&pgr;&epsiv;&alpha;&ngr;
&pgr;&alpha;&tgr;&epsiv;&ngr;&tgr;
&pgr;&rho;&ogr;&tgr;&epsiv;&chi;&tgr;&iota;&ogr;&ngr; &iota;&sigma;
&sigma;&ogr;&ugr;&ggr;&eegr;&tgr; &phis;&ogr;&rho; &ogr;&ngr;&epsiv;,
&sigma;&epsiv;&piv;&epsiv;&rho;&alpha;&lgr;, &ogr;&rho;
&alpha;&lgr;&lgr; &Egr;&Pgr;&KHgr;
&micro;&epsiv;&micro;&bgr;&epsiv;&rho;
&chi;&ogr;&ugr;&ngr;&tgr;&rho;&iota;&epsiv;&sigma;.

The following states are members of African Regional Industrial Property
Organization (ARIPO) regional patent system:  (4) Malawi, (34) Sudan,
(68) Kenya, (73) Swaziland, (75) Uganda, (81) Lesotho, (89) Ghana, (90)
Zimbabwe, and (93) Gambia.

The following states are members of the Eurasian (EA) regional patent
system:  (15) Russian Federation, (57) Kazakstan, (58) Belarus, (65)
Kyrgyzstan, (66) Republic of Moldova, (67) Tajikistan, (70) Armenia,
(78) Turkmenistan, and (82) Azerbaijan. 	The Federal Republic of
Yugoslavia is comprised of the Republics of Serbia and Montenegro.  The
World Intellectual Property Organization has utilized the two-letter
code "YU" to refer to the Federal Republic of Yugoslavia becoming a
party to the Patent Cooperation Treaty.  The United States understands
that the scope of the territory covered by the designation encompasses
only the Republics of Serbia and Montenegro.

---SECTION---1817.01 Designation of States and Precautionary
Designations

37 CFR 1.432 Designation of States and payment of designation fees.

(a) The designation of States including an indication that applicant
wishes to obtain a regional patent, where applicable, shall appear in
the Request upon filing and must be indicated as set forth in PCT Rule
4.9 and section 115 of the Administrative Instructions. Applicant must
specify at least one national or regional designation on filing of the
international application for a filing date to be granted. 

(b) If the fees necessary to cover all the national and regional
designations specified in the Request are not paid by the applicant
within one year from the priority date or within one month from the date
of receipt of the international application if that month expires after
the expiration of one year from the priority date, applicant will be
notified and given one month within which to pay the deficient
designation fees plus a late payment fee. The late payment fee shall be
equal to the greater of fifty percent of the amount of the deficient
fees up to a maximum amount equal to the basic fee, or an amount equal
to the transmittal fee (PCT Rule 16bis). The one-month time limit set in
the notification of deficient designation fees may not be extended.
Failure to timely pay at least one designation fee will result in the
withdrawal of the international application.

(1) The one designation fee must be paid:

(i) Within one year from the priority date;

(ii) Within one month from the date of receipt of the international
application if that month expires after the expiration of one year from
the priority date; or

(iii) With the late payment fee defined in this paragraph within the
time set in the notification of the deficient designation fees or in
accordance with PCT Rule 16bis.1(e).

(2) If after a notification of deficient designation fees the applicant
makes timely payment, but the amount paid is not sufficient to cover the
late payment fee and all designation fees, the Receiving Office will,
after allocating payment for the basic, search, transmittal and late
payment fees, allocate the amount paid in accordance with PCT Rule
16bis.1(c) and withdraw the unpaid designations. The notification of
deficient designation fees pursuant to this paragraph may be made
simultaneously with any notification pursuant to Section  1.431(c).

(c) The amount payable for the designation fee set forth in paragraph
(b) is:

(1) The designation fee in effect on the filing date of the
international application, if such fee is paid in full within one month
from the date of receipt of the international application;

(2) The designation fee in effect on the date such fee is paid in full,
if such fee is paid in full later than one month from the date of
receipt of the international application but within one year from the
priority date;

(3) The designation fee in effect on the date one year from the priority
date, if the fee was due one year from the priority date, and such fee
is paid in full later than one month from the date of receipt of the
international application and later than one year from the priority
date; or

(4) The designation fee in effect on the international filing date, if
the fee was due one month from the international filing date and after
one year from the priority date, and such fee is paid in full later than
one month from the date of receipt of the international application and
later than one year from the priority date.

(d) On filing the international application, in addition to specifying
at least one national or regional designation under PCT Rule 4.9(a),
applicant may also indicate under PCT Rule 4.9(b) that all other
designations permitted under the Treaty are made.

(1) Indication of other designations permitted by the Treaty under PCT
Rule 4.9(b) must be made in a statement on the Request that any
designation made under this paragraph is subject to confirmation (PCT
Rule 4.9(c)) not later than the expiration of 15 months from the
priority date by:

(i) Filing a written notice with the United States Receiving Office
specifying the national and/or regional designations being confirmed;

(ii) Paying the designation fee for each designation being confirmed;
and

(iii) Paying the confirmation fee specified in Section  1.445(a)(4).

(2) Unconfirmed designations will be considered withdrawn. If the amount
submitted is not sufficient to cover the designation fee and the
confirmation fee for each designation being confirmed, the Receiving
Office will allocate the amount paid in accordance with any priority of
designations specified by applicant. If applicant does not specify any
priority of designations, the allocation of the amount paid will be made
in accordance with PCT Rule 16bis.1(c).

The designation of States is the indication, in Box No. V of the request
(except in the last sub-box of that Box), of specific Contracting States
in or for which the applicant is seeking protection for his or her
invention.  Such a designation is called a "specific" designation, as
distinct from the "precautionary" designations. Designations for the
purpose of obtaining national patents are effected by indicating each
Contracting State concerned.  On the printed form, this is accomplished
by marking the appropriate check-boxes next to the names of the States.
Where the applicant is seeking a European patent (for the States party
to the European Patent Convention) or an OAPI patent, the checkbox
"European Patent" or the checkbox "OAPI Patent" must be marked. 
Switzerland and Liechtenstein cannot be designated independently of each
other.

Belgium, France, Greece, Italy, Monaco, and Ireland can be designated
only for a European Patent since only a European patent (and not a
national patent) can be obtained via the PCT route for those countries. 
Where any of the other States for which both a national and a European
patent are available is designated twice in the same application, namely
for national protection and for a European patent, the application is
treated in the international phase as an application for a national
patent in that State and also as an application for a European patent
with effect for that State.

All designations must be made in the international application on
filing; none may be added later. However, there is a safety net designed
to protect applicants who make mistakes or omissions among the specific
designations, by way of making a precautionary designation of all other
States which have not been specifically designated in the Request whose
designation would be permitted under the Treaty.

In addition to specific designations described above, the applicant may,
under PCT Rule 4.9(b), indicate in the request that all designations
which would be permitted under the PCT are also made, provided that at
least one specific designation is made and that the request also
contains a statement relating to the confirmation of any precautionary
designations so made. That statement must declare that any such
designation is subject to confirmation (as provided in Rule 4.9(c)), and
that any such designation which is not so confirmed before the
expiration of 15 months from the priority date is to be regarded as
withdrawn by the applicant at the expiration of that time limit.

Precautionary designations are effected in practice by including the
necessary statement in the last sub-box of Box No. V of the request (the
statement is set out in the printed request form). Since the
precautionary designations are designed particularly to enable
applicants to correct omissions and mistakes in the original list of
specific designations, it is strongly recommended that applicants make
the precautionary designations indication (by leaving the pre-printed
statement in the printed form, if that form is used) unless there is a
particular reason for doing otherwise.  The request form makes provision
for the applicant to omit designations if that is desired. It should be
noted that no fees are payable in respect of precautionary designations
except where the applicant later decides to confirm them.

Precautionary designations will be regarded as withdrawn by the
applicant unless they are confirmed, but the applicant is not obliged to
confirm them. The precautionary designation procedure enables the
applicant to make, in the request, all designations permitted by the PCT
in addition to those made specifically.  For this purpose, the request
must also contain a statement that any precautionary designations so
made are subject to confirmation as provided in Rule 4.9(c) and that any
designation which is not so confirmed before the expiration of 15 months
from the priority date is to be regarded as withdrawn by the applicant
at the expiration of that time limit.  Noting that the confirmation of
designations is entirely at the applicant's discretion, no notification
is sent to the applicant reminding him or her that the time limit for
confirming precautionary designations is about to expire.  Applicants
are cautioned that in order for the confirmation of a designation of the
U.S. to be valid, the inventor must have been named in the application
papers as filed,  37 CFR 1.421(b).

APPLICANT FOR PURPOSES OF EACH DESIGNATION

Where there is but a single applicant, the right to file an
international application and to designate contracting states or regions
(EP or OAPI) exists if the applicant is a resident or national of a
contracting state.  The applicant can be an individual, corporate entity
or other concern.  If the United States is to be designated, it is
particularly important to note that the applicant must also be the
inventor.

In the case where there are several applicants who are different for
different designated states, the right to file an international
application and to designate contracting states or regions (EP or OAPI)
exists if at least one of them is a resident or national of a
contracting state. If the United States is to be designated, it is
important to note that the applicant must also be the inventor.  If the
inventor is not also the applicant, the designation of the United States
is invalid.

---SECTION---1817.02 Continuation or Continuation-in -Part Indication in
the Request Rule 4 The Request (Contents)

                  +++    

4.14. Continuation or Continuation-in-Part

If the applicant wishes his international application to be treated, in
any designated State, as an application for a continuation or a
continuation-in-part of an earlier application, he shall so indicate in
the request and shall identify the parent application involved.

                  +++    

Box No. V and the Supplemental Box of the Request form should be used
where the applicant has an earlier application in a country designated
in the international application and where special title or treatment of
the international application is desired. For example, if the applicant
has a pending United States application, the international application
could contain additional subject matter and be treated as a
continuation-in-part in the United States, if the United States is
designated in the international application (PCT Rule 4.14). In this
example, the entries to be placed in Box No. V would be as follows:
"United States of America; continuation-in-part;" and in the
Supplemental Box, an entry such as "Continuation of Box No. V, Parent
application for U.S. designation: United States of America, 20 May 1981,
222,222" identifying the earlier pending application should be inserted.

---SECTION---1819 Earlier International or International-Type Search
Rule 4 Request (Contents)

                  +++    

4.11. Reference to Earlier Search

If an international or international-type search has been requested on
an application under Article 15(5) or if the applicant wishes the
International Searching Authority to base the international search
report wholly or in part on the results of a search, other than an
international or international-type search, made by the national Office
or intergovernmental organization which is the International Searching
Authority competent for the international application, the request shall
contain a reference to that fact. Such reference shall either identify
the application (or its translation, as the case may be) in respect of
which the earlier search was made by indicating country, date and
number, or the said search by indicating, where applicable, date and
number of the request for such search.

                  +++    

Certain International Searching Authorities refund part or all of the
international search fee or reduce the amount of the international
search fee where the international search can be based wholly or partly
on an earlier search (whether an international, international-type, or
other search) made by them. The United States provides for a reduced
search fee where there is a corresponding prior U.S. national
nonprovisional application.

Where the earlier search by the International Searching Authority was
made in relation to a national, regional (for instance, European) or
international application, that application must be identified in Box
No. VII of the request by an indication of the country of filing (or the
European Patent Office), and the number and filing date of that
application. Note that, if the earlier search was made on the basis of a
translation of that application into a language other than that in which
the application was filed, that translation must also be identified in
Box No. VII.  Where the earlier search was made independently of a
patent granting procedure (for instance, a standard search by the
European Patent Office), a reference must be made to the date of the
request for that search and the number given to the request by the
International Searching Authority.

The United States Patent and Trademark Office performs an
international-type search on all U.S. national applications filed on and
after 01 June 1978. No specific request by the applicant is required and
no number identifying the international-type search is assigned by the
Office. All earlier U.S. applications referred to in Box No. VI and Box
No. VII as well as all U.S. applications referred to in separate
transmittal letters will be considered by the Office. See  37 CFR
1.104(a)(3) and (a)(4). The forms to be used for recording an
international-type search can be obtained from the International
Application Processing Division.

Box No. VII should be used to identify related international
applications whether or not priority of that application is claimed.

---SECTION---1820 Signature of Applicant Rule 4 Request (Contents)

                  +++    

4.15. Signature

(a) Subject to paragraph (b), the request shall be signed by the
applicant or, if there is more than one applicant, by all of them.

(b) Where two or more applicants file an international application which
designates a State whose national law requires that national
applications be filed by the inventor and where an applicant for that
designated State who is an inventor refused to sign the request or could
not be found or reached after diligent effort, the request need not be
signed by that applicant if it is signed by at least one applicant and a
statement is furnished explaining, to the satisfaction of the receiving
Office, the lack of the signature concerned.

                  +++    

SIGNATURE OF APPLICANT OR AGENT

The international application must be signed in Box No. IX of the
request by the applicant, or, where there are two or more applicants, by
all of them. Subject to certain conditions, the request may be signed by
the agent instead of the applicant(s). Pursuant to  37 CFR 1.4(d), the
request filed may be either an original, or a copy thereof. Certain
papers may be filed by facsimile transmission. See  37 CFR 1.6(d) and
the discussion in MPEP Section  1805.

The international application may be signed by an agent, but in that
case the agent must be appointed as such by the applicant in a separate
power of attorney signed by the applicant.  If there are two or more
applicants, the request may be signed by an agent on behalf of all or
only some of them; in that case the agent must be appointed as such in
one or more powers of attorney signed by the applicants on whose behalf
the agent signs the application. Where a power of attorney appointing an
agent who signs an international application is missing, the signature
is treated as missing until the power of attorney is submitted.

The signature should be executed in black indelible ink. The name of
each person signing the international application should be indicated
(preferably typewritten) next to the signature.  Where a person signs on
behalf of a legal entity (an organization such as a corporation,
university, nonprofit organization, or governmental agency), his or her
name and the capacity in which he or she signs should be indicated. 
Proof of the person's authority to sign on behalf of the legal entity
will be required if that person does not possess apparent authority to
sign on behalf of the legal entity.  An officer (President,
Vice-President, Secretary, Treasurer) of an organization is presumed to
have authority to sign on behalf of that organization.  The signature of
the chairman of the board is also acceptable, but not the signature of
an individual director.  Variations of these titles (such as
vice-president for sales, executive vice-president, assistant treasurer,
vice-chairman of the board of directors) are acceptable.  A person
having a title (manger, director, administrator, general counsel) that
does not clearly set forth that person as an officer of the organization
is not presumed to be an officer or to have the authority to sign on
behalf of the organization.  An attorney does not generally have
apparent authority to sign on behalf of an organization.

Proof that a person has the authority to sign on behalf of a legal
entity may take the form of a copy of a resolution of the board of
directors, a provision of the bylaws, or a copy of a paper properly
delegating authority to that person to sign the international
application on behalf of the legal entity.

It is also acceptable to have a person sign the international
application on behalf of a legal entity if that person submits a
statement that the person has the authority to sign the international
application on behalf of the legal entity.  This statement should be on
a separate paper and must not appear on the Request (or Demand) form
itself.  The statement must include a clause such as "The undersigned
(whose title is supplied below) is empowered to sign the Request on
behalf of the applicant." 

A power of attorney or authorization of agent from a person signing on
behalf of a legal entity to a registered patent attorney or agent will
be required if the attorney or agent signs the international
application.  Additional proof of authority may be required by the USPTO
in any international application.

Where an applicant is temporarily unavailable, the international
application can be filed without his or her signature. The lack of an
applicant's signature or of a signed power of attorney is a correctable
defect under PCT Article 14(1)(a)(i) and (b), and can be remedied by
filing a copy of the request (or, where the request has been signed by
an agent, of a power of attorney) duly signed by the applicant within
the time limit fixed by the receiving Office for the correction of this
defect.

APPLICANT INVENTOR UNAVAILABLE OR UNWILLING TO SIGN THE INTERNATIONAL
APPLICATION OR OTHER DOCUMENTS

The PCT provides a special procedure, where two or more applicants file
an international application designating the United States of America,
which enables the international application to proceed if an applicant
inventor for the United States of America refuses to sign or cannot be
found or reached after diligent effort. This procedure makes an
exception to the general rule that all applicants must sign the request
(or a separate power of attorney appointing an agent who then signs the
request). Its operation is limited to signature of the request by
applicants for the purposes of the designation of a State whose national
law requires that national applications be filed by the inventor (the
United States of America is the only Contracting State to have such a
requirement in its national law).

It is provided by PCT Rule 4.15(b) that, where an applicant inventor for
the designation of the United States of America refused to sign the
request or could not be found or reached after diligent effort, the
request need not be signed by that applicant inventor if it is signed by
at least one applicant and a statement is furnished explaining, to the
satisfaction of the receiving Office, the lack of the signature
concerned. If such a statement is furnished to the satisfaction of the
receiving Office, the international application complies with the
requirements of PCT Article 14(1)(a)(i) for the purposes of all
designated States (including the United States of America) without
adverse consequences in the international phase. However, additional
proofs may be required by the United States Patent and Trademark Office
after entry into the national phase if the required oath or declaration
by the inventor is not signed by all the applicant inventors.

The lack of a signature constitutes a defect under PCT Article
14(1)(a)(i), and the statement must thus be filed within the time limit
set by the receiving Office for correction of such defects in accordance
with PCT Article 14(1)(b) and PCT Rule 26.2. That time limit is fixed,
in each case, in the invitation by the receiving Office to correct any
defects under PCT Article 14(1)(a);  the time limit must be reasonable
under the circumstances, must be not less than 1 month from the date of
the invitation, and may be extended by the receiving Office at any time
before a decision is taken under PCT Rule 26.

If the request lacks the signature of an applicant inventor for the
United States of America and a satisfactory statement cannot be
furnished for the purposes of PCT Rule 4.15(b), the international
application will be considered withdrawn. The Receiving Office will
issue a declaration of withdrawal.

Provisions similar to PCT Rule 4.15(b) apply to excuse a lack of
signature by an applicant inventor for the United States of America of
certain other documents connected with the international application,
provided that a similar statement is furnished explaining the lack of
signature to the Office or Authority concerned.  These documents are the
Demand, any notice of a later election, and a notice of withdrawal of
the international application, a designation, a priority claim, or an
election. Note, however, that the signatures of all the applicants are
not required for all of those documents for example, the Demand may be
signed by the common representative (including an applicant who is
considered to be the common representative).

PCT Rule 4.15(b) is implemented in the United States through  37 CFR
1.425, which provides:

37 CFR 1.425 Filing by other than inventor.

Where an international application which designates the United States of
America is filed and where one or more inventors refuse to sign the
Request for the international application or cannot be found or reached
after diligent effort, the Request need not be signed by such inventor
if it is signed by another applicant.  Such international application
must be accompanied by a statement explaining to the satisfaction of the
Commissioner the lack of the signature concerned.

Where there are joint inventors other than the nonsigning applicant
inventor, the available joint inventors should sign the request form on
behalf of themselves and the nonsigning inventor. Where a sole inventor
or all of the joint inventors refuse to sign the request or can not be
located, another applicant may make the application on behalf of the
nonsigning inventor(s). In both instances, the application must be
accompanied by a statement explaining the facts that the nonsigning
inventor(s) either refuse to sign or cannot be located after diligent
effort. Such proof should take the form of statements by persons with
first hand knowledge of the pertinent facts.

APPLICANT INVENTOR DECEASED

37 CFR 1.422 When the inventor is dead.

In case of the death of the inventor, the legal representative
(executor, administrator, etc.) of the deceased inventor may file an
international application which designates the United States of America.

Proof of the authority of the legal representative must be filed. Such
proof normally takes the form of a certificate of the clerk of a
competent court or the register of wills that the legal representative's
appointment is still in full force and effect. Such certificate should
be signed by an officer and authenticated by the seal of the court by
which the same was issued. If the certificate is not in the English
language, an English translation is also required. In the case of
foreign executors or administrators, a consular officer of the United
States or a notary public from a member country to the Hague Convention
Abolishing the Requirement of Legalization for Foreign Public Documents
must authenticate the signature of the foreign officer attesting to the
papers submitted as proof of authority.  See MPEP Section  409.01(b) and
Section  602.04.

---SECTION---1821 The Request

A general overview of certain aspects of the request follows.

37 CFR 1.434 The request.

(a) The request shall be made on a standardized form (PCT Rules 3 and
4). Copies of printed Request forms are available from the Patent and
Trademark Office. Letters requesting printed forms should be marked "Box
PCT."

(b) The Check List portion of the Request form should indicate each
document accompanying the international application on filing.

(c) All information, for example, addresses, names of States and dates,
shall be indicated in the Request as required by PCT Rule 4 and
Administrative Instructions 110 and 201.

(d) International applications which designate the United States of
America shall include:

(1) The name, address and signature of the inventor, except as provided
by Section Section  1.421(d), 1.422, 1.423 and 1.425;

(2) A reference to any copending national application or international
application designating the United States of America, if the benefit of
the filing date for the prior copending application is to be claimed.

The request must either be made on a printed form to be filled in with
the required indications or be presented as a computer printout
complying with the Administrative Instructions. Any prospective
applicant may obtain copies of the printed request form, free of charge,
from the receiving Office with which he/she plans to file his/her
international application, or from the International Bureau. Details of
the requirements for the request if presented as a computer printout are
set out in Administrative Instructions Section 102(h).

The request contains a petition for the international application to be
processed according to the PCT and must also contain certain
indications. It must contain the title of the invention. It must
identify the applicant, (normally) the inventor, and the agent (if any),
and must contain the designation of at least one Contracting State.  The
request must contain an indication of any wish of the applicant's to
obtain a European patent rather than, or in addition to, a national
patent in respect of a designated State.

DATES

Each date appearing in the international application or in any
correspondence 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. In
the request, after, below or above that indication, the date should be
repeated in parentheses with a two-digit Arabic numeral each for the
number of the day, the number of the month and the last two figures of
the year, in that order and separated by periods, slashes or hyphens,
for example, 10 June 1986 (10.06.86); (10/06/86) or (10-06-86).

Any prospective applicant may obtain English language Request forms free
of charge from the United States Patent and Trademark Office, Box PCT,
Washington, D.C. 20231. The Request may not contain any matter that is
not specified in PCT Rule 4. Any additional material will be deleted ex
officio (Administrative Instructions Section 303).

SUPPLEMENTAL BOX

This box is used for any material which cannot be placed in one of the
previous boxes because of space limitations. The supplemental
information placed in this box should be clearly entitled with the Box
number from which it is continued, e.g., "Continuation of Box No. IV."

FILE REFERENCE

The applicant or his/her agent may indicate a file reference in the box
provided for the purpose on the first sheet of the request form, on each
page of the other elements of the international application, on the
first sheet of the demand form, and in any other correspondence relating
to the international application. The file reference may be composed
either of letters of the Latin alphabet or Arabic numerals, or both. It
may not exceed 12 characters. The receiving Office, the International
Bureau, the International Searching Authority and the International
Preliminary Examining Authority will use the file reference in
correspondence with the applicant.

TITLE OF INVENTION

The Request must contain the title of the invention; the title must be
short (preferably 2 to 7 words) and precise (PCT Rule 4.3). The title in
Box No. I of the Request is considered to be the title of the
application. The title appearing on the first page of the description
(PCT Rule 5.1(a)) and on the page containing the abstract should be
consistent with the title indicated in Box No. I of the Request form.

A title should not be changed by the examiner merely because it contains
words which are not considered descriptive of the invention. Words, for
example, such as "improved" or  "improvement of" are acceptable. If the
title is otherwise not descriptive of the invention, a change to a more
descriptive title should be made and the applicant informed thereof in
the Search report.

Where the title is missing or is inconsistent with the title in the
description, the Receiving Office invites the applicant to correct the
missing or inconsistent title.

APPLICANT

Any resident or national of a Contracting State may file an
international application. Where there are two or more applicants, at
least one of them must be a national or a resident of a PCT Contracting
State.

The question whether an applicant is a resident or national of a
Contracting State depends on the national law of that State and is
decided by the receiving Office. Also, possession of a real and
effective industrial or commercial establishment in a Contracting State
may be considered residence in that State, and a legal entity
constituted according to the national law of a Contracting State is
considered a national of that State.

The applicant must be identified by the indication of his/her name and
address and by marking next to that indication, the check-box "This
person is also inventor" in Box No. II, or "applicant and inventor" in
Box No. III, where the applicant is also the inventor or one of the
inventors, or the check-box "applicant only" where the applicant is not
the inventor or one of the inventors. Where the applicant is a
corporation or other legal entity (that is, not a natural person), the
check-box "applicant only" must be marked. The applicant's nationality
and residence must also be indicated.

NAMES

The names of a natural person must be indicated by the family name
followed by the given name(s). Academic degrees or titles or other
indications which are not part of the person's name must be omitted. The
family name should preferably be written in capital letters.

The name of a legal entity must be indicated by its full official
designation (preferably in capital letters).

ADDRESSES

Addresses must be indicated in such a way as to satisfy the requirements
for prompt postal delivery at the address indicated and must consist of
all the relevant administrative units up to and including the house
number (if any). The address must also include the country.

---SECTION---1823 The Description Article 5 The Description

The description shall disclose the invention in a manner sufficiently
clear and complete for the invention to be carried out by a person
skilled in the art. Rule 5  The Description

5.1. Manner of the Description

(a) The description shall first state the title of the invention as
appearing in the request and shall:

(i) specify the technical field to which the invention relates;

(ii) indicate the background art which, as far as known to the
applicant, can be regarded as useful for the understanding, searching
and examination of the invention, and, preferably, cite the documents
reflecting such art;

(iii) disclose the invention, as claimed, in such terms that the
technical problem (even if not expressly stated as such) and its
solution can be understood, and state the advantageous effects, if any,
of the invention with reference to the background art;

(iv) briefly describe the figures in the drawings, if any;

(v) set forth at least the best mode contemplated by the applicant for
carrying out the invention claimed; this shall be done in terms of
examples, where appropriate, and with reference to the drawings, if any;
where the national law of the designated State does not require the
description of the best mode but is satisfied with the description of
any mode (whether it is the best contemplated or not), failure to
describe the best mode contemplated shall have no effect in that State;

(vi) indicate explicitly, when it is not obvious from the description or
nature of the invention, the way in which the invention is capable of
exploitation in industry and the way in which it can be made and used,
or, if it can only be used, the way in which it can be used; the term
industry is to be understood in its broadest sense as in the Paris
Convention for the Protection of Industrial Property.

(b) The manner and order specified in paragraph (a) shall be followed
except when, because of the nature of the invention, a different manner
or a different order would result in a better understanding and a more
economic presentation.

(c) Subject to the provisions of paragraph (b), each of the parts
referred to in paragraph (a) shall preferably be preceded by an
appropriate heading as suggested in the Administrative Instructions.

                  +++      Administrative Instructions Section 204
Headings of the Parts of the Description

The headings of the parts of the description should be as follows:

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

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

(iii) for matter referred to in Rule 5.1(a)(iii),  "Disclosure of
Invention";

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

(v) for matter referred to in Rule 5.1(a)(v),  "Best Mode for Carrying
Out the Invention,"  or, where appropriate,  "Mode(s) for Carrying Out
the Invention";

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

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

(viii) for matter referred to in Rule 5.2(b),  "Sequence Listing Free
Text."  Administrative Instructions Section 209 Indications as to
Deposited Biological Material on a Separate Sheet

(a) To the extent that any indication with respect to deposited
biological material is not contained in the description, it may be given
on a separate sheet.  Where any such indication is so given, it shall
preferably be on Form PCT/RO/134 and, if furnished at the time of
filing, the said Form shall, subject to paragraph (b), preferably be
attached to the request and referred to in the check list referred to in
Rule 3.3(a)(ii).

(b) For the purposes of the Japanese Patent Office when Japan is
designated, paragraph (a) applies only to the extent that the said Form
or sheet is included as one of the sheets of the description of the
international application at the time of filing.

37 CFR 1.435 The description.

(a) The application must meet the requirements as to the content and
form of the description are set forth in PCT Rules 5, 9, 10 and 11 and
sections 204 and 208 of the Administrative Instructions.

(b) In international applications designating the United States the
description must contain upon filing an indication of the best mode
contemplated by the inventor for carrying out the claimed invention.

The description must disclose the invention in a manner sufficiently
clear and complete for it to be carried out by a person skilled in the
art. It must start with the title of the invention as appearing in Box
No. I of the request. PCT Rule 5 contains detailed requirements as to
the manner and order of the description, which, generally, should be in
six parts. Those parts should have the following headings:  "Technical
Field," "Background Art," "Disclosure of Invention," "Brief Description
of Drawings," "Best Mode for Carrying Out the Invention" or, where
appropriate, "Mode(s) for Carrying Out the Invention," "Industrial
Applicability," "Sequence Listing," and "Sequence Listing Free Text,"
where applicable.

The details required for the disclosure of the invention so that it can
be carried out by a person skilled in the art depend on the practice of
the national Offices. It is therefore recommended that due account be
taken of national practice in the United States of America when the
description is drafted.

The need to amend the description during the national phase may thus be
avoided.

This applies likewise to the need to indicate the "best mode for
carrying out the invention." If at least one of the designated Offices
requires the indication of the best mode  (for instance, the United
States Patent and Trademark Office), that best mode must be indicated in
the description.

A description drafted with due regard to what is said in these
provisions will be accepted by all the designated Offices. It might
require more care than the drafting of a national patent application,
but certainly much less effort than the drafting of multiple
applications, which is necessary where the PCT route is not used for
filing in several countries.

---SECTION---1823.01 Reference to Deposited Biological Material Rule
13bis Inventions Relating to Biological Material

13bis.1. Definition

For the purposes of this Rule, "reference to deposited biological
material" means particulars given in an international application with
respect to the deposit of a biological material with a depositary
institution or to the biological material so deposited.

13bis.2. References (General)

Any reference to deposited biological material shall be made in
accordance with this Rule and, if so made, shall be considered as
satisfying the requirements of the national law of each designated
State.

13bis.3. References: Contents; Failure to Include Reference or
Indication

(a) A reference to deposited biological material shall indicate:

(i) the name and address of the depositary institution with which the
deposit was made;

(ii) the date of deposit of the biological material with that
institution;

(iii) the accession number given to the deposit by that institution; and

(iv) any additional matter of which the International Bureau has been
notified pursuant to Rule 13bis.7(a)(i), provided that the requirement
to indicate that matter was published in the Gazette in accordance with
Rule 13bis.7(c) at least two months before the filing of the
international application.

(b) Failure to include a reference to deposited biological material or
failure to include, in a reference to deposited biological material, an
indication in accordance with paragraph (a), shall have no consequence
in any designated State whose national law does not require such
reference or such indication in a national application.

13bis.4. References: Time Limit for Furnishing Indications

(a) Subject to paragraphs (b) and (c), if any of the indications
referred to in Rule 13bis.3(a) is not included in a reference to
deposited biological material in the international application as filed
but is furnished to the International Bureau:

(i) within 16 months from the priority date, the indication shall be
considered by any designated Office to have been furnished in time;

(ii) after the expiration of 16 months from the priority date, the
indication shall be considered by any designated Office to have been
furnished on the last day of that time limit if it reaches the
International Bureau before the technical preparations for international
publication have been completed.

(b) If the national law applicable by a designated Office so requires in
respect of national applications, that Office may require that any of
the indications referred to in Rule 13bis.3(a) be furnished earlier than
16 months from the priority date, provided that the International Bureau
has been notified of such requirement pursuant to Rule 13bis.7(a)(ii)
and has published such requirement in the Gazette in accordance with
Rule 13bis.7(c) at least two months before the filing of the
international application.

(c) Where the applicant makes a request for early publication under
Article 21(2)(b), any designated Office may consider any indication not
furnished before the technical preparations for international
publication have been completed as not having been furnished in time.

(d) The International Bureau shall notify the applicant of the date on
which it received any indication furnished under paragraph (a), and

(i) if the indication was received before the technical preparations for
international publication have been completed, indicate that date, and
include the relevant data from the indication, in the pamphlet published
under Rule 48;

(ii) if the indication was received after the technical preparations for
international publication have been completed, notify that date and the
relevant data from the indication to the designated Offices.

13bis.5. References and Indications for the Purposes of One or More
Designated States; Different Deposits for Different Designated States;
Deposits with Depositary Institutions Other Than Those Notified

(a) A reference to deposited biological material shall be considered to
be made for the purposes of all designated States, unless it is
expressly made for the purposes of certain of the designated States
only; the same applies to the indications included in the reference.

(b) References to different deposits of the biological material may be
made for different designated States.

(c) Any designated Office may disregard a deposit made with a depositary
institution other than one notified by it under Rule 13bis.7(b).

13bis.6. Furnishing of Samples

Pursuant to Articles 23 and 40, no furnishing of samples of the
deposited biological material to which a reference is made in an
international application shall, except with the authorization of the
applicant, take place before the expiration of the applicable time
limits after which national processing may start under the said
Articles. However, where the applicant performs the acts referred to in
Articles 22 or 39 after international publication but before the
expiration of the said time limits, the furnishing of samples of the
deposited microorganism may take place, once the said acts have been
performed. Notwithstanding the previous provision, the furnishing of
samples of the deposited biological material may take place under the
national law applicable for any designated Office as soon as, under that
law, the international publication has the effects of the compulsory
national publication of an unexamined national application.

13bis.7. National Requirements: Notification and Publication

(a) Any national Office may notify the International Bureau of any
requirement of the national law:

(i) that any matter specified in the notification, in addition to those
referred to in Rule 13bis.3(a)(i), (ii) and (iii), is required to be
included in a reference to deposited biological material in a national
application;

(ii) that one or more of the indications referred to in Rule 13bis.3(a)
are required to be included in a national application as filed or are
required to be furnished at a time specified in the notification which
is earlier than 16 months after the priority date.

(b) Each national Office shall notify the International Bureau of the
depositary institutions with which the national law permits deposits of
biological material to be made for the purposes of patent procedure
before that Office or, if the national law does not provide for or
permit such deposits, of that fact.

(c) The International Bureau shall promptly publish in the Gazette
requirements notified to it under paragraph (a) and information notified
to it under paragraph (b). Administrative Instructions Section 209
Indications as to Deposited Biological Material on a Separate Sheet

(a) To the extent that any indication with respect to deposited
biological material is not contained in the description, it may be given
on a separate sheet.  Where any such indication is so given, it shall
preferably be on Form PCT/RO/134 and, if furnished at the time of
filing, the said Form shall, subject to paragraph (b), preferably be
attached to the request and referred to in the check list referred to in
Rule 3.3(a)(ii).

(b) For the purposes of the Japanese Patent Office when Japan is
designated, paragraph (a) applies only to the extent that the said Form
or sheet is included as one of the sheets of the description of the
international application at the time of filing.

REFERENCES TO DEPOSITED BIOLOGICAL MATERIAL IN THE CASE OF
MICROBIOLOGICAL INVENTIONS

The PCT does not require the inclusion of a reference to a biological
material and/or to its deposit with a depositary institution in an
international application; it merely prescribes the contents of any
"reference to deposited biological material" (defined as "particulars
given ... with respect to the deposit of biological material ... or to
the biological material so deposited") which is included in an
international application, and when such a reference must be furnished.
It follows that the applicant may see a need to make such a reference
only when it is required for the purpose of disclosing the invention
claimed in the international application in a manner sufficient for the
invention to be carried out by a person skilled in the art that is, when
the law of at least one of the designated States provides for the
making, for this purpose, of a reference to a deposited biological
material if the invention involves the use of a biological material that
is not available to the public.  Any reference to a deposited biological
material furnished separately from the description will be included in
the pamphlet containing the published international application.

A reference to a deposited biological material made in accordance with
the requirements of the PCT must be regarded by each of the designated
Offices as satisfying the requirements of the national law applicable in
that Office with regard to the contents of such references and the time
for furnishing them.

A reference may be made for the purposes of all designated States or for
one or only some of the designated States.  A reference is considered to
be made for the purpose of all designated States unless it is expressly
made for certain designated States only.  References to different
deposits may be made for the purposes of different designated States.

There are two kinds of indication which may have to be given with regard
to the deposit of the biological material, namely:

(A) indications specified in the PCT Regulations themselves;  and

(B) additional indications by the national (or regional) Office of (or
acting for) a State designated in the international application and
which have been published in the PCT Gazette; these additional
indications may relate not only to the deposit of the biological
material but also to the biological material itself.

The indications in the first category are:

(1) the name and address of the depositary institution with which the
deposit was made;

(2) the date of the deposit with that institution;  and

(3) the accession number given to the deposit by that institution.

U.S. requirements include the name and address of the depository
institution at the time of filing, the date of the deposit or a
statement that the deposit was made on or before the priority date of
the international application and, to the extent possible, a taxonomic
description of the biological material. See Annex L of the PCT
Applicants Guide.

The national laws of some of the national (or regional) Offices require
that, besides indications concerning the deposit of a biological
material, an indication be given concerning the biological material
itself, such as, for example, a short description of its
characteristics, at least to the extent that this information is
available to the applicant. These requirements must be met in the case
of international applications for which any such Office is a designated
Office, provided that the requirements have been published in the PCT
Gazette. Annex L of the PCT Applicant's Guide indicates, for each of the
national (or regional) Offices, the requirements (if any) of this kind
which have been published.

If any indication is not included in a reference to a deposited
biological material contained in the international application as filed,
it may be furnished to the International Bureau within 16 months after
the priority date unless the International Bureau has been notified
(and, at least 2 months prior to the filing of the international
application, it has published in the PCT Gazette) that the national law
requires the indication to be furnished earlier. However, if the
applicant makes a request for early publication, all indications should
be furnished by the time the request is made, since any designated
Office may regard any indication not furnished when the request is made
as not having been furnished in time.

No check is made in the international phase to determine whether a
reference has been furnished within the prescribed time limit. However,
the International Bureau notifies the designated Offices of the date(s)
on which indications, not included in the international application as
filed, were furnished to it. Those dates are also mentioned in the
pamphlet containing the published international application. Failure to
include a reference to a deposited biological material (or any
indication required in such a reference) in the international
application as filed, or failure to furnish it  (or the indication)
within the prescribed time limit, has no consequence if the national law
does not require the reference (or indication) to be furnished in a
national application. Where there is a consequence, it is the same as
that which applies under the national law.

To the extent that indications relating to the deposit of a biological
material are not given in the description, because they are furnished
later, they may be given in the "optional sheet" provided for that
purpose. If the sheet is submitted when the international application is
filed, a reference to it should be made in the check list contained on
the last sheet of the request form. Should Japan be designated, such a
sheet must, if used, be included as one of the sheets of the description
at the time of filing; otherwise the indications given in it will not be
taken into account by the Japanese Patent Office in the national phase.
If the sheet is furnished to the International Bureau later, it must be
enclosed with a letter.

Each national (or regional) Office whose national law provides for
deposits of biological material for the purposes of patent procedure
notifies the International Bureau of the depositary institutions with
which the national law permits such deposits to be made. Information on
the institutions notified by each of those Offices is published by the
International Bureau in the PCT Gazette.

A reference to a deposit cannot be disregarded by a designated Office
for reasons pertaining to the institution with which the biological
material was deposited if the deposit referred to is one made with a
depositary institution notified by that Office. Thus, by consulting the
PCT Gazette or Annex L of the PCT Applicant's Guide, the applicant can
be sure that he has deposited the biological material with an
institution which will be accepted by the designated Office.

International Searching Authorities and International Preliminary
Examining Authorities are not expected to request access to deposited
biological material. However, in order to retain the possibility of
access to a deposited biological material referred to in an
international application which is being searched or examined by such an
Authority, the PCT provides that the Authorities may, if they fulfill
certain conditions, ask for samples. Thus, an Authority may only ask for
samples if it has notified the International Bureau (in a general
notification) that it may require samples and the International Bureau
has published the notification in the PCT Gazette. The only Authority
which has made such a notification (and thus the only Authority which
may request samples) is the Japanese Patent Office.  If a sample is
asked for, the request is directed to the applicant, who then becomes
responsible for making the necessary arrangements for the sample to be
provided.

The furnishing of samples of a deposit of a biological material to third
persons is governed by the national laws applicable in the designated
Offices. PCT Rule 13bis.6(b), however, provides for the delaying of any
furnishing of samples under the national law applicable in each of the
designated (or elected) Offices until the start of the national phase,
subject to the ending of this "delaying effect" brought about by the
occurrence of either of the following two events:

(A) the applicant has, after international publication of the
international application, taken the steps necessary to enter the
national phase before the designated Office.

(B) international publication of the international application has been
effected, and that publication has the same effects, under the national
law applicable in the designated Office, as the compulsory national
publication of an unexamined national application (in other words, the
international application has qualified for the grant of "provisional
protection").

---SECTION---1823.02 Nucleotide and/or Amino Acid Sequence Listings Rule
5 The Description

                  +++    

5.2. Nucleotide and/or Amino Acid Sequence Disclosure

(a) Where the international application contains disclosure of one or
more nucleotide and/or amino acid sequences, the description shall
contain a sequence listing complying with the standard prescribed by the
Administrative Instructions and presented as a separate part of the
description in accordance with that standard.

(b) Where the sequence listing part of the description contains any free
text as defined in the standard provided for in the Administrative
Instructions, that free text shall also appear in the main part of the
description in the language thereof. Rule 13ter Nucleotide and/or Amino
Acid Sequence Listings

13ter.1. Sequence Listing for International Authorities

(a) Where the International Searching Authority finds that the
international application contains disclosure of one or more nucleotide
and/or amino acid sequences but:

(i) the international application does not contain a sequence listing
complying with the standard provided for in the Administrative
Instructions, that Authority may invite the applicant to furnish to it,
within a time limit fixed in the invitation, a sequence listing
complying with that standard;

(ii) the applicant has not already furnished a sequence listing in
computer readable form complying with the standard provided for in the
Administrative Instructions, that Authority may invite the applicant to
furnish to it, within a time limit fixed in the invitation, a sequence
listing in such a form complying with that standard.

(b)  	[Deleted]

(c) If the applicant does not comply with an invitation under paragraph
(a) within the time limit fixed in the invitation, the International
Searching Authority shall not be required to search the international
application to the extent that such noncompliance has the result that a
meaningful search cannot be carried out.

(d) Where the International Searching Authority finds that the
description does not comply with Rule 5.2(b), it shall invite the
applicant to file the required correction. Rule 26.4 shall apply mutatis
mutandis to any correction offered by the applicant. The International
Searching Authority shall transmit the correction to the receiving
Office and to the International Bureau.

(e) Paragraphs (a) and (c) shall apply mutatis mutandis to the procedure
before the International Preliminary Examining Authority.

(f) Any sequence listing not contained in the international application
as filed shall not, subject to Article 34, form part of the
international application.

13ter.2. Sequence Listing for Designated Office

Once the processing of the international application has started before
a designated Office, Rule 13ter .1(a) shall apply mutatis mutandis to
the procedure before that Office. No designated Office shall require the
applicant to furnish to it a sequence listing other than a sequence
listing complying with the standard provided for in the Administrative
Instructions. Administrative Instructions Section 208 Sequence Listings

Any nucleotide and/or amino acid sequence listing ("sequence listing")
filed as part of the international application, or furnished together
with the international application or subsequently (whether in printed
form or computer readable form), shall comply with Annex C.

REQUIREMENTS FOR SEQUENCE LISTINGS

Where an international application discloses one or more nucleotide
and/or amino acid sequences, the description must contain a sequence
listing complying with the standard specified in the Administrative
Instructions. The standard is set forth in detail in Annex C - Standard
for the Presentation of Nucleotide and Amino Acid Sequence Listings in
International Patent Applications Under the PCT. The standard allows the
applicant to draw up a single sequence listing which is acceptable to
all receiving Offices, International Searching and Preliminary Examining
Authorities for the purposes of the international phase, and to all
designated and elected Offices for the purposes of the national phase.
The International Searching Authority and the International Preliminary
Examining Authority may, in some cases, invite the applicant to furnish
a listing complying with that standard.  The applicant may also be
invited to furnish a listing in a computer readable form provided for in
the PCT Administrative Instructions. It is advisable for the applicant
to submit a listing of the sequence in computer readable form, if such a
listing is required by the competent International Searching Authority
or International Preliminary Examining Authority, together with the
international application rather than to wait for an invitation by the
International Searching Authority or International Preliminary Examining
Authority.

The computer readable form is not mandatory in international
applications to be searched by the United States International Searching
Authority or examined by the United States International Preliminary
Examining Authority. However, if a computer readable form of a sequence
listing is not provided, a search or examination will be performed only
to the extent possible in the absence of the computer readable form. The
U.S. sequence rules (37 CFR 1.821 - 1.825) and the PCT sequence
requirements are substantively consistent. In this regard, full
compliance with the requirements of the U.S. rules will ensure
compliance with the applicable PCT requirements. The European Patent
Office (EPO), since January 1, 1993, requires nucleotide and amino acid
sequences to be in computer readable form. Applicants should be
cognizant of this requirement and ensure compliance with EPO
requirements if the EPO is to be the search or examination authority. 
See also MPEP Section  1848. For a detailed discussion of the U.S.
sequence rules, see MPEP Section  2420 -  Section  2421.04.

---SECTION---1824 The Claims Article 6 The Claims

The claim or claims shall define the matter for which protection is
sought. Claims shall be clear and concise. They shall be fully supported
by the description. Rule 6 The Claims

6.1. Number and Numbering of Claims

(a) The number of the claims shall be reasonable in consideration of the
nature of the invention claimed.

(b) If there are several claims, they shall be numbered consecutively in
Arabic numerals.

(c) The method of numbering in the case of the amendment of claims shall
be governed by the Administrative Instructions.

6.2. References to Other Parts of the International Application

(a) Claims shall not, except where absolutely necessary, rely, in
respect of the technical features of the invention, on references to the
description or drawings. In particular, they shall not rely on such
references as: "as described in part ... of the description," or "as
illustrated in figure ... of the drawings."

(b) Where the international application contains drawings, the technical
features mentioned in the claims shall preferably be followed by the
reference signs relating to such features. When used, the reference
signs shall preferably be placed between parentheses. If inclusion of
reference signs does not particularly facilitate quicker understanding
of a claim, it should not be made. Reference signs may be removed by a
designated Office for the purposes of publication by such Office.

6.3. Manner of Claiming

(a) The definition of the matter for which protection is sought shall be
in terms of the technical features of the invention.

(b) Whenever appropriate, claims shall contain:

(i) a statement indicating those technical features of the invention
which are necessary for the definition of the claimed subject matter but
which, in combination, are part of the prior art,

(ii) a characterizing portion -  preceded by the words "characterized in
that," "characterized by," "wherein the improvement comprises," or any
other words to the same effect - stating concisely the technical
features which, in combination with the features stated under (i), it is
desired to protect.

(c) Where the national law of the designated State does not require the
manner of claiming provided for in paragraph (b), failure to use that
manner of claiming shall have no effect in that State provided the
manner of claiming actually used satisfies the national law of that
State.

6.4. Dependent Claims

(a) Any claim which includes all the features of one or more other
claims (claim in dependent form, hereinafter referred to as "dependent
claim") shall do so by a reference, if possible at the beginning, to the
other claim or claims and shall then state the additional features
claimed. Any dependent claim which refers to more than one other claim
("multiple dependent claim") shall refer to such claims in the
alternative only. Multiple dependent claims shall not serve as a basis
for any other multiple dependent claim. Where the national law of the
national Office acting as International Searching Authority does not
allow multiple dependent claims to be drafted in a manner different from
that provided

for in the preceding two sentences, failure to use that manner of
claiming may result in an indication under Article 17(2)(b) in the
international search report. Failure to use the said manner of claiming
shall have no effect in a designated State if the manner of claiming
actually used satisfies the national law of that State.

(b) Any dependent claim shall be construed as including all the
limitations contained in the claim to which it refers or, if the
dependent claim is a multiple dependent claim, all the limitations
contained in the particular claim in relation to which it is considered.

(c) All dependent claims referring back to a single previous claim, and
all dependent claims referring back to several previous claims, shall be
grouped together to the extent and in the most practical way possible.

6.5. Utility Models

Any designated State in which the grant of a utility model is sought on
the basis of an international application may, instead of Rules 6.1 to 
6.4, apply in respect of the matters regulated in those Rules the
provisions of its national law concerning utility models once the
processing of the international application has started in that State,
provided that the applicant shall be allowed at least two months from
the expiration of the time limit applicable under Article 22 to adapt
his application to the requirements of the said provisions of the
national law. Administrative Instructions Section 205 Numbering and
Identification of Claims Upon Amendment

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

(b) The applicant shall, in the letter referred to in the second and
third sentences of Rule 46.5(a) or in the second and fourth sentences of
Rule 66.8(a), indicate the differences between the claims as filed and
the claims as amended. He shall, in particular, indicate in the said
letter, in connection with each claim appearing in the international
application (it being understood that identical indications concerning
several claims may be grouped), whether:

(i) the claim is unchanged;

(ii) the claim is cancelled;

(iii) the claim is new;

(iv) the claim replaces one or more claims as filed;

(v) the claim is the result of the division of a claim as filed.

37 CFR 1.436 The claims.

The requirements as to the content and format of claims are set forth in
PCT Art. 6 and PCT Rules 6, 9, 10 and 11 and shall be adhered to. The
number of the claims shall be reasonable, considering the nature of the
invention claimed.

The claim or claims must "define the matter for which protection is
sought."  Claims must be clear and concise. They must be fully supported
by the description. PCT Rule 6 contains detailed requirements as to the
number and numbering of claims, the extent to which any claim may refer
to other parts of the international application, the manner of claiming,
and dependent claims.  As to the manner of claiming, the claims must,
whenever appropriate, be in two distinct parts;  namely, the statement
of the prior art and the statement of the features for which protection
is sought ("the characterizing portion").

The physical requirements for the claims are the same as those for the
description.  Note that the claims must commence on a new sheet.

The procedure for rectification of obvious errors is explained in MPEP
Section  1836. The omission of an entire sheet of the claims cannot be
rectified without affecting the international filing date. It is
recommended that a request for rectification of obvious errors in the
claims be made only if the error is liable to affect the international
search; otherwise, the rectification should be made by amending the
claims.

The claims can be amended during the international phase under PCT
Article 19 on receipt of the international search report, during
international preliminary examination if the applicant has filed a
Demand, and during the national phase.

Multiple dependent claims are permitted in international applications
before the United States Patent and Trademark Office as an International
Searching and International Preliminary Examining Authority or as a
Designated or Elected Office, if they are in the alternative only and do
not serve as a basis for any other multiple dependent claim (PCT Rule
6.4(a),  35 U.S.C. 112).  The claims, being an element of the
application, should start on a new page (PCT Rule 11.4). Page numbers
and line numbers must not be placed in the margins (PCT Rule 11.6(e)).

The number of claims shall be reasonable, considering the nature of the
invention claimed (37 CFR 1.436 ).

---SECTION---1825 The Drawings Article 7 The Drawings

(1) Subject to the provisions of paragraph (2)(ii), drawings shall be
required when they are necessary for the understanding of the invention.

(2) Where, without being necessary for the understanding of the
invention, the nature of the invention admits of illustration by
drawings:

(i) the applicant may include such drawings in the international
application when filed.

(ii) any designated Office may require that the applicant file such
drawings with it within the prescribed time limit. Rule 7 The Drawings

7.1. Flow Sheets and Diagrams

Flow sheets and diagrams are considered drawings.

7.2. Time Limit

The time limit referred to in Article 7(2)(ii) shall be reasonable under
the circumstances of the case and shall, in no case, be shorter than two
months from the date of the written invitation requiring the filing of
drawings or additional drawings under the said provision. Rule 11
Physical Requirements of the International Application

                  +++    

11.5. Size of Sheets

The size of the sheets shall be A4 (29.7 cm x 21 cm).  However, any
receiving Office may accept international applications on sheets of
other sizes provided that the record copy, as transmitted to the
International Bureau, and, if the competent International Searching
Authority so desires, the search copy, shall be of A4 size.

11.6. Margins

                  +++    

(c) On sheets containing drawings, the surface usable shall not exceed
26.2 cm x 17.0 cm. The sheets shall not contain frames around the usable
or used surface. The minimum margins shall be as follows:

- top: 2.5 cm

- left side: 2.5 cm

- right side: 1.5 cm

- bottom: 1.0 cm

                  +++    

11.11. Words in Drawings

(a)	The drawings shall not contain text matter, except a single word or
words, when absolutely indispensable, such as "water," " steam," "open,"
"closed," "section on AB," and, in the case of electric circuits and
block schematic or flow sheet diagrams, a few short catchwords
indispensable for understanding.

(b) 	Any words used shall be so placed that, if translated, they may be
pasted over without interfering with any lines of the drawings.

                  +++    

11.13. Special Requirements for Drawings

(a) Drawings shall be executed in durable, black, sufficiently dense and
dark, uniformly thick and well-defined, lines and strokes without
colorings.

(b) Cross-sections shall be indicated by oblique hatching which should
not impede the clear reading of the reference signs and leading lines.

(c) The scale of the drawings and the distinctness of their graphical
execution shall be such that a photographic reproduction with a linear
reduction in size to two-thirds would enable all details to be
distinguished without difficulty.

(d) When, in exceptional cases, the scale is given on a drawing,  it
shall be represented graphically.

(e) All numbers, letters and reference lines, appearing on the drawings,
shall be simple and clear. Brackets, circles or inverted commas shall
not be used in association with numbers and letters.

(f) All lines in the drawings shall, ordinarily, be drawn with the aid
of drafting instruments.

(g) Each element of each figure shall be in proper proportion to each of
the other elements in the figure, except where the use of a different
proportion is indispensable for the clarity of the figure.

(h) The height of the numbers and letters shall not be less than 0.32
cm. For the lettering of drawings, the Latin and, where customary, the
Greek alphabets shall be used.

(i) The same sheet of drawings may contain several figures. Where
figures on two or more sheets form in effect a single complete figure,
the figures on the several sheets shall be so arranged that the complete
figure can be assembled without concealing any part of any of the
figures appearing on the various sheets.

(j) The different figures shall be arranged on a sheet or sheets without
wasting space, preferably in an upright position, clearly separated from
one another. Where the figures are not arranged in an upright position,
they shall be presented sideways with the top of the figures at the left
side of the sheet.

(k) The different figures shall be numbered in Arabic numerals
consecutively and independently of the numbering of the sheets.

(l) Reference signs not mentioned in the description shall not appear in
the drawings, and vice versa.

(m) The same features, when denoted by reference signs, shall,
throughout the international application, be denoted by the same signs.

(n) If the drawings contain a large number of reference signs, it is
strongly recommended to attach a separate sheet listing all reference
signs and the features denoted by them.

                  +++    

37 CFR 1.437 The drawings.

(a) Subject to paragraph (b) of this section, when drawings are
necessary for the understanding of the invention, or are mentioned in
the description, they must be part of an international application as
originally filed in the United States Receiving Office in order to
maintain the international filing date during the national stage (PCT
Art. 7).

(b) Drawings missing from the application upon filing will be accepted
if such drawings are received within 30 days of the date of first
receipt of the incomplete papers. If the missing drawings are received
within the 30-day period, the international filing date shall be the
date on which such drawings are received. If such drawings are not
timely received, all references to drawings in the international
application shall be considered non-existent (PCT Art. 14(2),
Administrative Instruction 310).

(c) The physical requirements for drawings are set forth in PCT Rule 11
and shall be adhered to.

The international application must contain drawings when they are
necessary for the understanding of the invention. Moreover where,
without drawings being actually necessary for the understanding of the
invention, its nature admits of illustration by drawings, the applicant
may include such drawings and any designated Office may require the
applicant to file such drawings during the national phase. Flow sheets
and diagrams are considered drawings. "Guidelines for Drawings Under the
Patent Cooperation Treaty," published in the PCT Gazette (No. 7/1978),
may be obtained, in English and French, from the International Bureau.

Drawings must be presented on one or more separate sheets. They may not
be included in the description, the claims or the abstract.  They may
not contain text matter, except a single word or words when absolutely
indispensable. All lines in the drawings must, ordinarily, be drawn with
the aid of a drafting instrument and must be executed in black,
uniformly thick and well-defined lines. Rules 11.10 to 11.13 contain
detailed requirements as to further physical requirements of drawings.
Drawings newly executed according to national standards may not be
required during the national phase if the drawings filed with the
international application comply with Rule 11. The examiner may require
new drawings where the drawings which were accepted during the
international phase did not comply with PCT Rule 11. A file reference
may be indicated in the upper left corner on each sheet of the drawings
as for the description.

All the figures constituting the drawings must be grouped together on a
sheet or sheets without waste of space, preferably in an upright
position and clearly separated from each other. Where the drawings or
tables cannot be presented satisfactorily in an upright position, they
may be placed sideways, with the tops of the drawings or tables on the
left-hand side of the sheet.

The usable surface of sheets (which must be of A4 size) must not exceed
26.2 cm x 17.0 cm. The sheets must not contain frames around the usable
surface. The minimum margins which must be observed are:  top and left
side:  2.5 cm;  right side:  1.5 cm;  bottom:  1.0 cm.

All sheets of drawings must be numbered in the center of either the top
or the bottom of each sheet but not in the margin in numbers larger than
those used as reference signs in order to avoid confusion with the
latter.  For drawings, a separate series of page numbers is to be used.
The number of each sheet of the drawings must consist of two Arabic
numerals separated by an oblique stroke, the first being the sheet
number and the second being the total number of sheets of drawings. For
example, "2/5" would be used for the second sheet of drawings where
there are five in all.

Different figures on the sheets of drawings must be numbered in Arabic
numerals consecutively and independently of the numbering of the sheets
and, if possible, in the order in which they appear. This numbering
should be preceded by the expression "Fig."

The PCT makes no provision for photographs.  Nevertheless, they are
allowed by the International Bureau where it is impossible to present in
a drawing what is to be shown (for instance, crystalline structures).
Where, exceptionally, photographs are submitted, they must be on sheets
of A4 size, they must be black and white, and they must respect the
minimum margins and admit of direct reproduction. Color photographs are
not accepted.

The procedure for rectification of obvious errors in the drawings is
explained in MPEP Section  1836. The omission of an entire sheet of
drawings cannot be rectified without affecting the international filing
date. Changes other than the rectification of obvious errors are
considered amendments.

The drawings can be amended during the international phase only if the
applicant files a Demand for international preliminary examination. The
drawings can also be amended during the national phase.

If drawings are referred to in an international application and are not
found in the search copy file, the examiner should refer the case to the
Group Special Program Examiner. See PCT Administrative Instructions
Section 310.

---SECTION---1826 The Abstract Rule 8  The Abstract

8.1. Contents and Form of the Abstract

(a) The abstract shall consist of the following:

(i) a summary of the disclosure as contained in the description, the
claims, and any drawings; the summary shall indicate the technical field
to which the invention pertains and shall be drafted in a way which
allows the clear understanding of the technical problem, the gist of the
solution of that problem through the invention, and the principal use or
uses of the invention;

(ii) where applicable, the chemical formula which, among all the
formulae contained in the international application, best characterizes
the invention.

(b) The abstract shall be as concise as the disclosure permits
(preferably 50 to 150 words if it is in English or when translated into
English).

(c) The abstract shall not contain statements on the alleged merits or
value of the claimed invention or on its speculative application.

(d) Each main technical feature mentioned in the abstract and
illustrated by a drawing in the international application shall be
followed by a reference sign, placed between parentheses.

8.2. Figure

(a) If the applicant fails to make the indication referred to in Rule
3.3(a)(iii), or if the International Searching Authority finds that a
figure or figures other than that figure or those figures suggested by
the applicant would, among all the figures of all the drawings, better
characterize the invention, it shall, subject to paragraph (b), indicate
the figure or figures which should accompany the abstract when the
latter is published by the International Bureau. In such case, the
abstract shall be accompanied by the figure or figures so indicated by
the International Searching Authority. Otherwise, the abstract shall,
subject to paragraph (b), be accompanied by the figure or figures
suggested by the applicant.

(b) If the International Searching Authority finds that none of the
figures of the drawings is useful for the understanding of the abstract,
it shall notify the International Bureau accordingly. In such case, the
abstract, when published by the International Bureau, shall not be
accompanied by any figure of the drawings even where the applicant has
made a suggestion under Rule 3.3(a)(iii).

8.3. Guiding Principles in Drafting

The abstract shall be so drafted that it can efficiently serve as a
scanning tool for purposes of searching in the particular art,
especially by assisting the scientist, engineer or researcher in
formulating an opinion on whether there is a need for consulting the
international application itself.

37 CFR 1.438 The abstract.

(a) Requirements as to the content and form of the abstract are set
forth in PCT Rule 8, and shall be adhered to.

(b) Lack of an abstract upon filing of an international application will
not affect the granting of a filing date. However, failure to furnish an
abstract within one month from the date of the notification by the
Receiving Office will result in the international application being
declared withdrawn.

The abstract must consist of a summary of the disclosure as contained in
the description, the claims and any drawings. Where applicable, it must
also contain the most characteristic chemical formula. The abstract must
be as concise as the disclosure permits (preferably 50 to 150 words if
it is in English or when translated into English).  National practice
(see MPEP Section  608.01(b)) provides a range of 50 - 250 words for the
abstract. The PCT range of 50 - 150 is not absolute but publication
problems could result when the PCT limit is increased beyond the 150
word limit. Maintaining the PCT upper limit is encouraged. As a rule of
thumb, it can be said that the volume of the text of the abstract,
including one of the figures from the drawings (if any), should not
exceed what can be accommodated on an A4 sheet of typewritten matter, 1
1/2 spaced. The abstract must begin on a new sheet following the claims
(PCT Administrative Instructions Section 207). The other physical
requirements must correspond to those for the description. The abstract
must be so drafted that it can efficiently serve as a scanning tool for
the purposes of searching in the particular art. These and other
requirements concerning the abstract are spelled out in detail in PCT
Rule 8. Useful guidance can be obtained from the "Guidelines for the
Preparation of Abstracts Under the Patent Cooperation Treaty," published
in the PCT Gazette (No. 5/1978). Those Guidelines may be obtained, in
English and French, from the International Bureau.

The abstract should be primarily related to what is new in the art to
which the invention pertains. Phrases should not be used which are
implicit, (for instance, "the invention relates to ..."), and statements
on the alleged merits or value of the invention are not allowed.

Where the receiving Office finds that the abstract is missing, it
invites the applicant to furnish it within a time limit fixed in the
invitation. The international application is considered withdrawn if no
abstract is furnished to the receiving Office within the time limit
fixed. Where the receiving Office has not invited the applicant to
furnish an abstract, the International Searching Authority establishes
one. The same applies where the abstract does not comply with the
requirements outlined in the preceding paragraphs. Where the abstract is
established by the International Searching Authority, the applicant may
submit comments on it within 1 month from the date of mailing of the
international search report, (PCT Rule 38.2(b)).

SUMMARY OF ABSTRACT REQUIREMENTS

Preferably 50-150 words.  Should contain:

(A) Indication of field of invention.

(B) Clear indication of the technical problem.

(C) Gist of invention's solution of the problem.

(D) Principal use or uses of the invention.

(E) Reference numbers of the main technical features placed between
parentheses.

(F) Where applicable, chemical formula which best characterizes the
invention.

Should not contain:

(A) Superfluous language.

(B) Legal phraseology such as "said" and "means."

(C) Statements of alleged merit or speculative application.

(D) Prohibited items as defined in PCT Rule 9.

---SECTION---1827 Fees

A complete list of Patent Cooperation Treaty fee amounts which are to be
paid to the United States Patent and Trademark Office, for both the
national and international stages, can be found at the beginning of each
weekly issue of the Official Gazette of the United States Patent and
Trademark Office. Applicants are urged to refer to this list before
submitting any fees to the PTO.

Pursuant to PCT Rules 14.1(c), 15.4(a), and 16.1(f), the basic,
transmittal, and search fee payable is the basic, transmittal, and
search fee in effect on the filing date of the international
application.  See Interim rule  37 CFR 1.431(c).

---SECTION---1828 Priority Claim and Document

An applicant who claims the priority of one or more earlier national or
international applications for the same invention must indicate on the
Request, at the time of filing, the country in or for which it was
filed, the date of filing, and the application number. See PCT Article 8
and PCT Rule 4.10 for priority claim particulars and PCT Rule 90 bis.3
for withdrawal of priority claims.

Effective July 1, 1998, applicant may correct or add a priority claim by
a notice submitted to the Receiving Office or the International Bureau
within 16 months from the priority date, or where the priority date is
changed, within 16 months from the priority date so changed, whichever
period expires first.  All priority claim additions or changes must,
however, be submitted no later than 4 months from the international
filing date.  PCT Rule 26bis.1 and Interim rules  37 CFR 1.451 and
1.465.

Under the PCT procedure, the applicant may file the certified copy of
the earlier filed national application together with the international
application in the receiving Office for transmittal with the record
copy, or alternatively the certified copy may be submitted by the
applicant to the International Bureau or the receiving Office not later
than 16 months from the priority date or, if the applicant has requested
early processing in any designated Office, not later than the time such
processing or examination is requested. The International Bureau will
normally furnish copies of the certified copy to the various designated
Offices so that the applicant will not normally be required to submit
certified copies to each designated Office.

For use of the priority document in national stage applications filed
under  35 U.S.C. 371, see MPEP Section 1893.03(c).

---SECTION---1830 International Application Transmittal Letter

A PCT international application transmittal letter, Form PTO-1382, is
available free of charge for applicants to use when filing PCT
international applications with the United States Receiving Office. The
form is intended to simplify the filing of PCT international
applications by providing a one-page letter which covers the most common
requests and concerns of applicants. Specifically covered are:

(A) Requests under  37 CFR 1.451 for preparation and transmittal to the
International Bureau of certified copies of the U.S. national
applications, the priority of which is claimed in international
application;

(B) Choice of Searching Authority to conduct the international search.
Applicants may choose either the U.S. Patent and Trademark Office or the
European Patent Office as the International Searching Authority.

(C) Authorizations for any required additional search fees requested by
the United States International Searching Authority to be charged to a
Deposit Account subject to oral confirmation of the authorization. It
should be noted that if the European Patent Office is chosen as the
Searching Authority, any supplemental search fees requested by that
Office are payable directly to the European Patent Office.

(D) Indications of information concerning differences in disclosure, if
any, between the international application and related applications to
assist in determining any foreign transmittal licensing requirements as
well as for other purposes; and

(E) Requests for foreign transmittal license.

---SECTION---1832 License Request for Foreign Filing Under the PCT

A license for foreign filing is not required to file an international
application in the United States Receiving Office but may be required
before the applicant or the U.S. Receiving Office can forward a copy of
the international application to a foreign patent office, the
International Bureau or other foreign authority (35 U.S.C. 368,  37 CFR
5.1 and 5.11). A foreign filing license to permit transmittal to a
foreign office or international authority is not required if the
international application does not disclose subject matter in addition
to that disclosed in a prior U.S. national application filed more than 6
months prior to the filing of the international application (37 CFR
5.11(a)). In all other instances (direct foreign filings outside the PCT
or filings in a foreign receiving Office), the applicant should petition
for a license for foreign filing (37 CFR 5.12) and if appropriate,
identify any additional subject matter in the international application
which was not in the earlier U.S. national application (37 CFR 5.14
(c)). This request and disclosure information may be supplied on the PCT
international application transmittal letter, Form PTO-1382.

If no petition or request for a foreign filing license is included in
the international application, and it is clear that a license is
required because of the designation of foreign countries and the time at
which the Record Copy must be transmitted, it is current Office practice
to construe the filing of such an international application to include a
request for a foreign filing license. If the license can be granted, it
will be issued without further correspondence. If no license can be
issued, or further information is required, applicant will be contacted.
The automatic request for a foreign filing license does not apply to the
filing of a foreign application outside the PCT.

EFFECT OF SECRECY ORDER

If a secrecy order is applied to an international application, the
application will not be forwarded to the International Bureau as long as
the secrecy order remains in effect (PCT Article 27(8) and  35 U.S.C.
368). If the secrecy order remains in effect, the international
application will be declared withdrawn (abandoned) because the Record
Copy of the international application was not received in time by the
International Bureau (37 CFR 5.3(d), PCT Article 12(3), and PCT Rule
22.3). It is, however, possible to prevent abandonment as to the United
States of America if it has been designated, by fulfilling the
requirements of  35 U.S.C. 371(c).

---SECTION---1834 Correspondence Rule 92 Correspondence

92.1. Need for Letter and for Signature

(a)	Any paper submitted by the applicant in the course of the
international procedure provided for in the Treaty and these
Regulations, other than the international application itself, shall, if
not itself in the form of a letter, be accompanied by a letter
identifying the international application to which it relates. The
letter shall be signed by the applicant.

(b)	If the requirements provided for in paragraph (a) are not complied
with, the applicant shall be informed as to the non-compliance and
invited to remedy the omission within a time limit fixed in the
invitation. The time limit so fixed shall be reasonable in the
circumstances; even where the time limit so fixed expires later than the
time limit applying to the furnishing of the paper (or even if the
latter time limit has already expired), it shall not be less than 10
days and not more than one month from the mailing of the invitation. If
the omission is remedied within the time limit fixed in the invitation,
the omission shall be disregarded; otherwise, the applicant shall be
informed that the paper has been disregarded.

(c)	Where non-compliance with the requirements provided for in paragraph
(a) has been overlooked and the paper taken into account in the
international procedure, the non-compliance shall be disregarded.

92.2. Languages

(a) Subject to Rules 55.1 and 66.9 and to paragraph (b) of this Rule,
any letter or document submitted by the applicant to the International
Searching Authority or the International Preliminary Examining Authority
shall be in the same language as the international application to which
it relates. However, where a translation of the international
application has been transmitted under Rule 23.1(b) or furnished under
Rule 55.2, the language of such translation shall be used.

(b) Any letter from the applicant to the International Searching
Authority or the International Preliminary Examining Authority may be in
a language other than that of the international application, provided
the said Authority authorizes the use of such language.

(c) [Deleted]

(d) Any letter from the applicant to the International Bureau shall be
in English or French.

(e) Any letter or notification from the International Bureau to the
applicant or to any national Office shall be in English or French.

                  +++      Administrative Instructions Section 105
Identification of International Application With Two or More Applicants

Where any international application indicates two or more applicants, it
shall be sufficient, for the purpose of identifying that application, to
indicate, in any Form or correspondence relating to such application,
the name of the applicant first named in the request. The provisions of
the first sentence of this Section do not apply to the demand or to a
notice effecting later elections.

NOTIFICATION UNDER PCT RULE 92.1(b) OF DEFECTS WITH REGARD TO
CORRESPONDENCE

If the Office finds that papers, other than the international
application itself, are not accompanied by a letter identifying the
international application to which they relate, or are accompanied by an
unsigned letter, or are furnished in the form of an unsigned letter, it
notifies the applicant and invites him or her to remedy the omission.
The Office disregards the said papers or letter if the omission is not
remedied within the time limit fixed in the invitation (PCT Rule
92.1(b)). If the omission has been overlooked and the paper taken into
account, the omission is disregarded.

CORRESPONDENCE ADDRESS

Where there is a sole applicant without an agent in an international
application, correspondence will be sent to the applicant at his or her
indicated address;  or, if he or she has appointed one or more agents,
to that agent or the first-mentioned of those agents;  or, if he or she
has not appointed an agent but has indicated a special address for
notifications, at that special address.

Where there are two or more applicants who have appointed one or more
common agents, correspondence will be addressed to that agent or the
first-mentioned of those agents. Where no common agent has been
appointed, correspondence will be addressed to the common representative
(either the appointed common representative or the applicant who is
considered to be the common representative (PCT Rule 90.2) at the
indicated address; or, if the common representative has appointed one or
more agents, to that agent or the first-mentioned of those agents;  or,
if the common representative has not appointed an agent but has
indicated a special address for notifications, at that address.

FILING OF CORRESPONDENCE BY MAIL

The "Express Mail" procedure set forth at  37 CFR 1.10 applies to "[a]ny
correspondence received by the Patent and Trademark Office."
Accordingly, papers filed with the PTO in international applications
will be accorded by the Patent and Trademark Office the date of deposit
with the United States Postal Service as shown on the "date-in" on the
"Express Mail" mailing label as the date of filing in the PTO if the
provisions of  37 CFR 1.10 are complied with.  See MPEP Section  513.

In event there is a question regarding the date of deposit, the Express
Mail provisions of  37 CFR 1.10(c)-(e) require, in addition to using the
"Express Mail Post Office to Addressee" service, an indication of the
"Express Mail" mailing label number on each paper or fee.  In situations
wherein the correspondence includes several papers directed to the same
application  (for example, Request, description, claims, abstract,
drawings, and other papers) the correspondence may be submitted with a
cover or transmittal letter, which should itemize that papers.  The
cover or transmittal letter must have the "Express Mail" mailing label
number thereon.

The certificate of mailing by first class mail procedure set forth at 
37 CFR 1.8  differs from the  37 CFR 1.10 Express Mail procedure. See 
37 CFR 1.8(a)(2)(i)(D) and (E).  It is important to understand that the 
37 CFR 1.8 certificate of mailing procedure CANNOT be used for filing
any papers during the international stage if the date of deposit is
desired. If the  37 CFR 1.8 certificate of mailing procedure is used,
the paper and/or fee will be accorded the date of receipt in the USPTO
unless the receipt date falls on a Saturday, Sunday, or Federal holiday
in which case the date of receipt will be the next succeeding day which
is not a Saturday, Sunday, or Federal holiday (37 CFR 1.6(a)(3)).
Accordingly, the certificate of mailing procedures of  37 CFR 1.8 are
not available to have a submission during the international stage
considered as timely filed if the submission is not physically received
at the PTO on or before the due date.

---SECTION---1834.01 Use of Telegraph, Teleprinter, Facsimile Machine

PCT Rule 92.4 provides that a national Office may receive documents by
telegraph, teleprinter, or facsimile machine. However, the United States
Patent and Trademark Office has not informed the International Bureau
that it accepts such submissions other than facsimile transmissions.
Accordingly, applicants may not currently file papers in international
applications with the United States Patent and Trademark Office via
telegraph or teleprinter.

Generally, any paper may be filed by facsimile transmission with certain
exceptions which are identified in  37 CFR 1.6(d).  It should be noted
that a facsimile transmission of a document is not permitted and, if
submitted, will not be accorded a date of receipt if the document is:

(A) Required by statute to be certified;

(B) A drawing submitted under  37 CFR 1.437;

(C) An international application for patent; or

(D) A copy of the international application and the basic national fee
necessary to enter the national stage, as specified in  37 CFR 1.494(b)
or  37 CFR 1.495(b).

Facsimile transmission may be used to submit substitute sheets (other
than drawings), extensions of time, power of attorney, fee
authorizations (other than the basic national fee), confirmation of
precautionary designations, Demands, response to written opinions, oaths
or declarations, petitions, and translations in international
applications.

A Certificate of Transmission may be used as provided in  37 CFR
1.8(a)(1) except in the instances specifically excluded in  37 CFR
1.8(a)(2). Note particularly that the Certificate of Transmission cannot
be used for the filing of an international application for patent or
correspondence in an international application before the U.S. Receiving
Office, the U.S. International Searching Authority, or the U.S.
International Preliminary Examining Authority. Guidelines for facsimile
transmission are clearly set forth in  37 CFR 1.6(d) and should be read
before transmitting by facsimile machine.

A signature on a document received via facsimile in a permitted
situation is acceptable as a proper signature.  See PCT Rule 92.4(b) and 
37 CFR 1.4(d)(1)(ii).

The receipt date of a document transmitted via facsimile is the date in
the USPTO on which the transmission is completed, unless the receipt
date is a Saturday, Sunday, or Federal holiday in which case the date of
receipt will be the next succeeding day which is not a Saturday, Sunday,
or Federal holiday (37 CFR 1.6(a)(3)).  See  37 CFR 1.6(d).  Where a
document is illegible or part of the document is not received, the
document will be treated as not received to the extent that it is
illegible or the transmission failed. See PCT Rule 92.4(c).

---SECTION---1834.02 Irregularities in the Mail Service Rule 82
Irregularities in the Mail Service

82.1. Delay or Loss in Mail

(a) Any interested party may offer evidence that he has mailed the
document or letter five days prior to the expiration of the time limit.
Except in cases where surface mail normally arrives at its destination
within two days of mailing, or where no airmail service is available,
such evidence may be offered only if the mailing was by airmail. In any
case, evidence may be offered only if the mailing was by mail registered
by the postal authorities.

(b) If the mailing, in accordance with paragraph (a), of a document or
letter is proven to the satisfaction of the national Office or
intergovernmental organization which is the addressee, delay in arrival
shall be excused, or, if the document or letter is lost in the mail,
substitution for it of a new copy shall be permitted, provided that the
interested party proves to the satisfaction of the said Office or
organization that the document or letter offered in substitution is
identical with the document or letter lost.

(c) In the cases provided for in paragraph (b), evidence of mailing
within the prescribed time limit, and, where the document or letter was
lost, the substitute document or letter as well as the evidence
concerning its identity with the document or letter lost shall be
submitted within one month after the date on which the interested party
noticed or with due diligence should have noticed the delay or the loss,
and in no case later than six months after the expiration of the time
limit applicable in the given case.

(d) Any national Office or intergovernmental organization which has
notified the International Bureau that it will do so shall, where a
delivery service other than the postal authorities is used to mail a
document or letter, apply the provisions of paragraphs (a) to (c) as if
the delivery service was a postal authority.  In such a case, the last
sentence of paragraph (a) shall not apply but evidence may be offered
only if details of the mailing were recorded by the delivery service at
the time of mailing. The notification may contain an indication that it
applies only to mailings using specified delivery services or delivery
services which satisfy specified criteria. The International Bureau
shall publish the information so notified in the Gazette.

(e) Any national Office or intergovernmental organization may proceed
under paragraph (d):

(i) even if, where applicable, the delivery service used was not one of
those specified, or did not satisfy the criteria specified, in the
relevant notification under paragraph (d), or

(ii) even if that Office or organization has not sent to the
International Bureau a notification under paragraph (d).

82.2. Interruption in the Mail Service

(a) Any interested party may offer evidence that on any of the 10 days
preceding the day of expiration of the time limit the postal service was
interrupted on account of war, revolution, civil disorder, strike,
natural calamity, or other like reason, in the locality where the
interested party resides or has his place of business or is staying.

(b) If such circumstances are proven to the satisfaction of the national
Office or intergovernmental organization which is the addressee, delay
in arrival shall be excused, provided that the interested party proves
to the satisfaction of the said Office or organization that he effected
the mailing within five days after the mail service was resumed. The
provisions of Rule 82.1(c) shall apply mutatis mutandis.

DELAY OR LOSS IN MAIL

Delay or loss in the mail shall be excused when it is proven to the
satisfaction of the receiving Office that the concerned letter or
document was mailed at least five days before the expiration of the time
limit. The mailing must have been by registered air mail or, where
surface mail would normally arrive at the destination concerned within
two days of mailing, by registered surface mail (PCT Rule 82.1(a) to
(c)). PCT Rule 82 contains detailed provisions governing the situation
where a letter arrives late or gets lost due to irregularities in the
mail service, for example, because the mail service was interrupted due
to a strike. The provisions operate to excuse failure to meet a time
limit for filing a document for up to six months after the expiration of
the time limit concerned, provided that the document was mailed at least
five days before the expiration of the time limit. In order to take
advantage of these provisions, the mailing must have been by registered
airmail or, where surface mail would normally arrive at the destination
concerned within two days of mailing, by registered surface mail.
Evidence is required to satisfy the Office, and a substitute document
must be filed promptly-see PCT Rule 82.1(b) and (c) for details.

INTERRUPTION IN MAIL SERVICE

The provisions of PCT Rule 82.1(c) apply mutatis mutandis for
interruptions in the mail service caused by war, revolution, civil
disorder, strike, natural calamity or other like reasons (PCT Rule
82.2).

Special provisions also apply to mail interruptions caused by war,
revolution, civil disorder, strike, natural calamity or other like
reasons-see PCT Rule 82.2 for details.

  See PCT Rule 80.5 for guidance on periods which expire on a
non-working day.

---SECTION---1836 Rectification of Obvious Errors Rule 91 Obvious Errors
in Documents

91.1. Rectification

(a) Subject to paragraphs (b) to (gquater), obvious errors in the
international application or other papers submitted by the applicant may
be rectified.

(b) Errors which are due to the fact that something other than what was
obviously intended was written in the international application or other
paper shall be regarded as obvious errors. The rectification itself
shall be obvious in the sense that anyone would immediately realize that
nothing else could have been intended than what is offered as
rectification.

(c) Omissions of entire elements or sheets of the international
application, even if clearly resulting from inattention, at the stage,
for example, of copying or assembling sheets, shall not be rectifiable.

(d) Rectification may be made on the request of the applicant. The
authority having discovered what appears to be an obvious error may
invite the applicant to present a request for rectification as provided
in paragraphs (e) to  (gquater). Rule 26.4 shall apply mutatis mutandis
to the manner in which rectifications shall be requested.

(e) No rectification shall be made except with the express
authorization:

(i) of the receiving Office if the error is in the request,

(ii) of the International Searching Authority if the error is in any
part of the international application other than the request or in any
paper submitted to that Authority,

(iii) of the International Preliminary Examining Authority if the error
is in any part of the international application other than the request
or in any paper submitted to that Authority, and

(iv) of the International Bureau if the error is in any paper, other
than the international application or amendments or corrections to that
application, submitted to the International Bureau.

(f) Any authority which authorizes or refuses any rectification shall
promptly notify the applicant of the authorization or refusal and, in
the case of refusal, of the reasons therefor. The authority which
authorizes a rectification shall promptly notify the International
Bureau accordingly. Where the authorization of the rectification was
refused, the International Bureau shall, upon request made by the
applicant prior to the time relevant under paragraph (gbis), (gter) or
(gquater) and subject to the payment of a special fee whose amount shall
be fixed in the Administrative Instructions, publish the request for
rectification together with the international application. A copy of the
request for rectification shall be included in the communication under
Article 20 where a copy of the pamphlet is not used for that
communication or where the international application is not published by
virtue of Article 64(3).

(g) The authorization for rectification referred to in paragraph (e)
shall, subject to paragraphs (gbis), (gter)  and (gquater), be
effective:

(i) where it is given by the receiving Office or by the International
Searching Authority, if its notification to the International Bureau
reaches that Bureau before the expiration of 17 months from the priority
date;

(ii) where it is given by the International Preliminary Examining
Authority, if it is given before the establishment of the international
preliminary examination report;

(iii) where it is given by the International Bureau, if it is given
before the expiration of 17 months from the priority date.

(gbis) If the notification made under paragraph (g)(i) reaches the
International Bureau, or if the rectification made under paragraph
(g)(iii) is authorized by the International Bureau, after the expiration
of 17 months from the priority date but before the technical
preparations for international publication have been completed, the
authorization shall be effective and the rectification shall be
incorporated in the said publication.

(gter) Where the applicant has asked the International Bureau to publish
his international application before the expiration of 18 months from
the priority date, any notification made under paragraph (g)(i) must
reach, and any rectification made under paragraph (g)(iii) must be
authorized by, the International Bureau, in order for the authorization
to be effective, not later than at the time of the completion of the
technical preparations for international publication.

(gquater) Where the international application is not published by virtue
of Article 64(3), any notification made under paragraph (g)(i) must
reach, and any rectification made under paragraph (g)(iii) must be
authorized by, the International Bureau, in order for the authorization
to be effective, not later than at the time of the communication of the
international application under Article 20.

Obvious errors in the international application or other papers
submitted by the applicant may generally be rectified under PCT Rule 91,
if the rectification is authorized, as required, within the applicable
time limit. Any such rectification is free of charge. The omission of
entire sheets of the description cannot be rectified, even if resulting
from inattention at the stage of copying or assembling sheets.

Applicants often attempt to rely upon the priority application to
establish a basis for obvious error. The priority document (application)
cannot be used to support obvious error corrections. The rectification
is obvious only in the sense that anyone would immediately realize that
nothing else could have been intended than what is offered as
rectification. For example, a misspelled word could be considered an
obvious error subject to rectification. A missing chemical formula or
missing line of text would not be considered obvious error subject to
rectification.

Rectifications must be authorized:

(A) If the error is in the request by the Receiving Office;

(B) If the error is in the description, the claims, the drawings or the
abstract by the International Searching Authority, or by the
International Preliminary Examining Authority where the international
application is pending before the latter Authority;

(C) If the error is in any paper other than the international
application or amendments or corrections to it by the International
Bureau.

The request for rectification must be addressed to the authority
competent to authorize the rectification. It must be filed in time for
the rectification to be authorized and for notification of the
authorization to reach the International Bureau before the expiration of
the applicable time limit, namely:

(A) Where the authorization is given by the Receiving Office or the
International Searching Authority its notification must reach the
International Bureau before the expiration of 17 months from the
priority date (or later, before the technical preparations for
international publication have been completed);

(B) Where the authorization is given by the Inter national Preliminary
Examining Authority it must be given before the establishment of the
international preliminary examination report;

(C) Where the authorization is given by the Inter national Bureau it
must be given before the expiration of 17 months from the priority date
(or later, before the technical preparations for international
publication have been completed).

The patent examiner, in his or her capacity as an officer of either the
International Searching Authority or International Preliminary Examining
Authority, informs the applicant of the authorization or refusal to
authorize the rectification of obvious errors. The International
Searching Authority informs the applicant of the decision by use of Form
PCT/ISA/217, while the International Preliminary Examining Authority
informs the applicant of the decision by use of Form PCT/IPEA/412.

Where the examiner discovers what might be considered an obvious error,
an invitation to request rectification (Form PCT/ISA/216 or
PCT/IPEA/411) should be mailed to applicant.

---SECTION---1840 The International Searching Authority

35 U.S.C. 362 International Searching Authority and International
Preliminary Examining Authority.

(a) The Patent and Trademark Office may act as an International
Searching Authority and International Preliminary Examining Authority
with respect to international applications in accordance with the terms
and conditions of an agreement which may be concluded with the
International Bureau, and may discharge all duties required of such
Authorities, including the collection of handling fees and their
transmittal to the International Bureau.

(b) The handling fee, preliminary examination fee, and any additional
fees due for international preliminary examination shall be paid within
such time as may be fixed by the Commissioner.

37 CFR 1.413 The United States International Searching Authority.

(a) Pursuant to appointment by the Assembly, the United States Patent
and Trademark Office will act as an International Searching Authority
for international applications filed in the United States Receiving
Office and in other Receiving Offices as may be agreed upon by the
Commissioner, in accordance with agreement between the Patent and
Trademark Office and the International Bureau (PCT Art. 16(3)(b)).

(b) The Patent and Trademark Office, when acting as an International
Searching Authority, will be identified by the full title "United States
International Searching Authority" or by the abbreviation "ISA/US."

(c) The major functions of the International Searching Authority
include:

(1) Approving or establishing the title and abstract;

(2) Considering the matter of unity of invention;

(3) Conducting international and international-type searches and
preparing international and international-type search reports (PCT Art.
15, 17 and 18, and PCT Rules 25, 33 to 45 and 47); and

(4) Transmitting the international search report to the applicant and
the International Bureau.

The United States Patent and Trademark Office agreed to and was
appointed by the PCT Assembly, to act as an International Searching
Authority. As such an authority, a primary function is to establish
documentary search reports on prior art with respect to inventions which
are the subject of applications. See PCT Article 16.

Pursuant to an agreement concluded with the International Bureau, the
USPTO, as an International Searching Authority, agreed to conduct
international searches and prepare international search reports, for, in
addition to the United States of America, Mexico, Trinidad and Tobago,
Brazil, Barbados, Israel, and New Zealand. The agreement stipulated the
English language and specified that the subject matter to be searched is
that which is searched or examined in United States national
applications.

TRANSMITTAL OF THE SEARCH COPY TO THE INTERNATIONAL SEARCHING AUTHORITY

The "search copy" is transmitted by the Receiving Office to the
International Searching Authority (PCT Article 12(1)), the details of
the transmittal are provided in PCT Rule 23.

THE MAIN PROCEDURAL STEPS IN THE INTERNATIONAL SEARCHING AUTHORITY

The main procedural steps that any international application goes
through in the International Searching Authority are (1) the making of
the international search (PCT Article 15), and (2) the preparing of the
international search report (PCT Article 18 and PCT Rule 43).

COMPETENT INTERNATIONAL SEARCHING AUTHORITY

In respect of international applications filed with the U.S. Receiving
Office, the United States International Searching Authority, which is
the Examining Corps of the United States Patent and Trademark Office,
and the European Patent Office are competent to carry out the
international search (PCT Article 16, PCT Rules 35 and 36,  35 U.S.C.
362 and  37 CFR 1.413).

The United States Patent and Trademark Office has informed the
International Bureau that in addition to the United States Patent and
Trademark Office, the European Patent Office is competent as an
International Searching Authority for searching all kinds of
international applications filed in the United States Receiving Office
on and after October 1, 1982. (PCT Article 16(2) and PCT Rule
35.2(a)(i).

MATTERS TO BE CONSIDERED WHEN CHOOSING AN INTERNATIONAL SEARCHING
AUTHORITY

Choosing The European Patent Office (EPO) as an International Searching
Authority could be advantageous to United States applicants who
designate countries for European Regional patent protection in PCT
International applications for the following reasons:

(A) Claims may be amended according to EPO search results before
entering the European Office as a designated Office.

(B) The EPO search fee need not be paid upon entering the European
Office as a designated Office.

(C) The EPO search results may be available for use in a U.S. priority
application.

(D) The EPO international search may be obtained without the need for a
European professional representative.

(E) The European Patent Office search could provide the U.S. applicant
with the benefit of a European art search (which may be different from
applicant's own or the USPTO's search) before it is necessary to enter
the European Patent Office or other designated Offices.

Some of the disadvantages that may occur due to the European Patent
Office making the international search are the following:

(A) Additional mailing time to and from the EPO Searching Authority may
shorten the time for applicants to respond to various invitations from
the EPO such as for comments on abstracts and payments of additional
search fees as well as for PCT Article 19 amendments to the claims after
issuance of the International Search Report.

(B) There may be more difficulty in solving any procedural problems
between the applicant and the EPO than with the USPTO due to physical
distance and time differences.

The PCT Applicant's Guide provides helpful information for
communications with the European Patent Office.

---SECTION---1840.01 The European Patent Office as an International
Searching Authority

Since October 1, 1982, the European Patent Office (EPO) has been
available as a Searching Authority for PCT applications filed in the
United States Receiving Office. The choice of Searching Authority,
either the EPO or the United States Patent and Trademark Office, must be
made by the applicant on filing the international application. The
choice of Searching Authority may also be indicated on Form PTO-1382
Transmittal Letter.

It should be noted that the European Patent Office will not search, by
virtue of PCT Article 17(2)(a)(i), any international application to the
extent that it considers that the international application relates to
subject matter set forth in PCT Rule  39.1. Furthermore, the European
Patent Office is not equipped to search computer programs.

The international search fee for the European Patent Office must be paid
to the United States Patent and Trademark Office (USPTO) as a Receiving
Office at the time of filing the international application. The search
fee for the European Patent Office is announced weekly in the Official
Gazette in United States dollars. The search fee will change as costs
and exchange rates require. If exchange rates fluctuate significantly,
the fee may change frequently. Notice of changes will be published in
the Official Gazette shortly before the effective date of any change.

If the European Patent Office as the International Searching Authority
considers that the international application does not comply with the
requirement of unity of invention as set forth in PCT Rule 13, the
European Patent Office will invite applicants to timely pay directly to
it an additional search fee in Deutsche Marks for each additional
invention.

A revised fee calculation sheet (Form PCT/RO/101, Annex) having
appropriate spaces to indicate the choice of International Searching
Authority has been developed so that applicants may indicate which
International Searching Authority is to make the search.

---SECTION---1842 Chapter I Basic Flow

[GRAPHIC]

---SECTION---1843 The International Search Article 17 Procedure before
the International Searching Authority

(1) Procedure before the International Searching Authority shall be
governed by the provisions of this Treaty, the Regulations, and the
agreement which the International Bureau shall conclude, subject to this
Treaty and the Regulations, with the said Authority.

(2)(a) If the International Searching Authority considers:

(i) that the international application relates to a subject matter which
the International Searching Authority is not required, under the
Regulations, to search, and in the particular case decides not to
search, or

(ii) that the description, the claims, or the drawings, fail to comply
with the prescribed requirements to such an extent that a meaningful
search could not be carried out, the said Authority shall so declare and
shall notify the applicant and the International Bureau that no
international search report will be established.

(b) If any of the situations referred to in subparagraph (a) is found to
exist in connection with certain claims only, the international search
report shall so indicate in respect of such claims, whereas, for the
other claims, the said report shall be established as provided in
Article 18.

(3)(a) If the International Searching Authority considers that the
international application does not comply with the requirement of unity
of invention as set forth in the Regulations, it shall invite the
applicant to pay additional fees. The International Searching Authority
shall establish the international search report on those parts of the
international application which relate to the invention first mentioned
in the claims (main invention) and, provided the required additional
fees have been paid within the prescribed time limit, on those parts of
the international application which relate to inventions in respect of
which the said fees were paid.

(b) The national law of any designated State may provide that, where the
national Office of the State finds the invitation, referred to in
subparagraph (a), of the International Searching Authority justified and
where the applicant has not paid all additional fees, those parts of the
international application which consequently have not been searched
shall, as far as effects in the State are concerned, be considered
withdrawn unless a special fee is paid by the applicant to the national
Office of that State.  Rule 33 Relevant Prior Art for the International
Search

33.1. Relevant Prior Art for the International Search

(a) For the purposes of Article 15(2), relevant prior art shall consist
of everything which has been made available to the public anywhere in
the world by means of written disclosure (including drawings and other
illustrations) and which is capable of being of assistance in
determining that the claimed invention is or is not new and that it does
or does not involve an inventive step (i.e., that it is or is not
obvious), provided that the making available to the public occurred
prior to the international filing date.

(b) When any written disclosure refers to an oral disclosure, use,
exhibition, or other means whereby the contents of the written
disclosure were made available to the public, and such making available
to the public occurred on a date prior to the international filing date,
the international search report shall separately mention that fact and
the date on which it occurred if the making available to the public of
the written disclosure occurred on a date which is the same as, or later
than, the international filing date.

(c) Any published application or any patent whose publication date is
the same as, or later than, but whose filing date, or, where applicable,
claimed priority date, is earlier than the international filing date of
the international application searched, and which would constitute
relevant prior art for the purposes of Article  15(2) had it been
published prior to the international filing date, shall be specially
mentioned in the international search report.

33.2. Fields to Be Covered by the International Search

(a) The international search shall cover all those technical fields, and
shall be carried out on the basis of all those search files, which may
contain material pertinent to the invention.

(b) Consequently, not only shall the art in which the invention is
classifiable be searched but also analogous arts regardless of where
classified.

(c) The question what arts are, in any given case, to be regarded as
analogous shall be considered in the light of what appears to be the
necessary essential function or use of the invention and not only the
specific functions expressly indicated in the international application.

(d) The international search shall embrace all subject matter that is
generally recognized as equivalent to the subject matter of the claimed
invention for all or certain of its features, even though, in its
specifics, the invention as described in the international application
is different.

33.3. Orientation of the International Search

(a) International search shall be made on the basis of the claims, with
due regard to the description and the drawings (if any) and with
particular emphasis on the inventive concept towards which the claims
are directed.

(b) In so far as possible and reasonable, the international search shall
cover the entire subject matter to which the claims are directed or to
which they might reasonably be expected to be directed after they have
been amended. Rule 39 Subject Matter under Article 17(2)(a)(i)

39.1. Definition

No International Searching Authority shall be required to search an
international application if, and to the extent to which, its subject
matter is any of the following:

(i) scientific and mathematical theories,

(ii) plant or animal varieties or essentially biological processes for
the production of plants and animals, other than microbiological
processes and the products of such processes,

(iii) schemes, rules or methods of doing business, performing purely
mental acts or playing games,

(iv) methods for treatment of the human or animal body by surgery or
therapy, as well as diagnostic methods,

(v) mere presentations of information,

(vi) computer programs to the extent that the International Searching
Authority is not equipped to search prior art concerning such programs.

PCT Article 15 describes the objective of the international search,
i.e., to uncover relevant prior art, and also describes the
international-type search. It should be noted generally that an
international-type search is performed on all U.S. national applications
filed after June 1, 1978.

There are several benefits to applicants who use the PCT. One of the
three most commonly mentioned benefits is the international search (and
consequently the international search report). The others are the time
delay gained before having to enter the national phase and the monetary
savings since filing and translation fees are also deferred or indeed,
may not be necessary depending upon the search results.  The
international search gives applicants the benefit of knowing the status
of the prior art with respect to their invention before time for entry
into the national stage. This affords applicants the time to make
economic decisions whether to perfect their national stage filings.

The objective of the international search is to discover relevant prior
art (PCT Article 15(2)). "Prior art" consists of everything which has
been made available to the public anywhere in the world by means of
written disclosure (including drawings and other illustrations); it is
relevant in respect of the international application if it is capable of
being of assistance in determining that the claimed invention is or is
not new and that the claimed invention does or does not involve an
inventive step (i .e., that it is or is not obvious), and if the making
available to the public occurred prior to the international filing date.
For further details, see PCT Rule 33. The international search is made
on the basis of the claims, with due regard to the description and the
drawings (if any) contained in the international application (PCT
Article 15(3)). Categories of relevant prior art as described in PCT
Rule 33.1 are indicated in the search report under the section
"Documents Considered To Be Relevant." The various letter designations
are defined on the search report form (see PCT/ISA/210).

It is pointed out, for example, that:

(A) A category X reference defeats novelty or defeats inventive step
when the reference is considered alone;

(B) A category Y reference is said to defeat or refute inventive step
when combined with one or more other such references - the combination
being obvious to a person skilled in the art;

(C) A category A reference is one showing the general state of the art
but would not be considered to be of particular relevance;

(D) A category E reference is an earlier document which is published on
or after the international filing date;

(E) A category P reference is a document published prior to the
international filing date but later than the claimed priority date
(commonly called an intervening reference).

These are the most commonly used categories of references.

The examiner should not view these categories strictly in the sense that
they have a direct comparison to U.S. application of prior art
references, for example, a category X reference defeats novelty and in
that sense, it is closely analogous to U.S. consideration of  35 U.S.C.
102 prior art. However, a category X reference can also defeat inventive
step which is analogous to U.S. consideration of  35 U.S.C. 103 prior
art.

DOCUMENTS SEARCHED BY THE INTERNATIONAL SEARCHING AUTHORITY

The International Searching Authority must endeavor to discover as much
of the relevant prior art as its facilities permit (PCT Article 15(4)),
and, in any case, must consult the so-called "minimum documentation"
(PCT Rule 34).

CERTAIN SUBJECT MATTER NEED NOT BE SEARCHED

No International Searching Authority is required to perform an
international search where the international application relates to any
of the following subject matters:

(A) Scientific and mathematical theories;

(B) Plant or animal varieties or essentially biological processes for
the production of plants and animals, other than microbiological
processes and the products of such processes;

(C) Schemes, rules or methods of doing business, performing purely
mental acts or playing games;

(D) Methods for treatment of the human or animal body by surgery or
therapy, as well as diagnostic methods;

(E) Mere presentation of information; and

(F) Computer programs to the extent that it, the said Authority is not
equipped to search prior art (PCT Article 17(2)(a)(i) and PCT Rule 39).

The applicant considering the filing of an international application may
be well advised not to file one if the subject matter of the application
falls into one of the above mentioned areas. If he or she still does
file, the International Searching Authority may declare that it will not
establish an international search report. It is to be noted,
nevertheless, that the lack of the international search report in such
case will not have, in itself, any influence on the validity of the
international application and the latter's processing will continue,
including its communication to the designated Offices.

The USPTO has declared that it will search and examine, in international
applications, all subject matter searched and examined in U.S. national
applications.

NO SEARCH REQUIRED IF CLAIMS ARE UNCLEAR

If the International Searching Authority considers that the description,
the claims, or the drawings fail to comply with the prescribed
requirements to such an extent that a meaningful search could not be
carried out, it may declare that it will not establish a search report
(PCT Article 17(2)(a) (ii) and (b)). Such declaration may also be made
in respect of some of the claims only. The lack of the international
search report will not, in itself, have any influence on the validity of
the international application and the latter's processing will continue,
including its communication to the designated Offices. Where only some
of the claims are found to be unsearchable, the International Searching
Authority will not search them, but will search the rest of the
international application. Any unsearched claims will be indicated in
the Search Report.

---SECTION---1844 The International Search Report Article 18 The
International Search Report

(1) The international search report shall be established within the
prescribed time limit and in the prescribed form.

(2) The international search report shall, as soon as it has been
established, be transmitted by the International Searching Authority to
the applicant and the International Bureau.

(3) The international search report or the declaration referred to in
Article 17(2)(a) shall be translated as provided in the Regulations. The
translations shall be prepared by or under the responsibility of the
International Bureau.

The results of the international search will be recorded in the
international search report (Form PCT/ISA/210), which is transmitted
with Form PCT/ISA/220 to the applicant and with Form PCT/ISA/219 to the
International Bureau. The search report will be published by the
International Bureau and will serve as a basis for examination of the
international application by the designated Offices and the
International Preliminary Examination Authority.

The time limit for establishing the international search report or the
declaration under Article 17(2)(a) that no search report will be
established is 3 months from receipt of the search copy by the searching
authority or 9 months from the priority date, whichever time limit
expires later. To ensure timeliness, Office policy is to set a shorter
period for the search by the examiner so that any corrections to the
report can be made timely and also to allow for review and mailing to
the International Bureau. The Office strives to get all search reports
to the International Bureau by 16 months from the priority date or,
where there is no priority date, 9 months from the international filing
date. See PCT Rule 42.1.

The search report should not contain any expressions of opinion,
reasoning, argument or explanation as to any cited prior art. Any such
comments would be inappropriate and should be used only if preliminary
examination is or becomes a part of the international proceeding. The
search report is only for the purpose of identifying prior art and not
for commenting thereupon.

The printed international search report form (Form PCT/ISA/210) to be
transmitted to the applicant and to the International Bureau contains
two main sheets ("first sheet" and "second sheet") to be used for all
searches. These two main sheets are intended for recording the important
features of the search such as the fields searched and for citing
documents revealed by the search. The printed international search
report form also contains four optional continuation sheets for use
where necessary. There are two continuation sheets for each of the
"first sheet" and the "second sheet": "continuation of first sheet (1)"
and "continuation of first sheet (2)", and "continuation of second
sheet" and "patent family annex", respectively. The patent family annex
sheet is not currently used by the United States International Searching
Authority since patent family information is not readily available to
the examiner. The "continuation of first sheet (1)" is to be used only
where an indication is made on the first sheet that claims were found
unsearchable (item 1) and/or unity of invention is lacking (item 2). The
relevant indications must then be made on that continuation sheet. The
"continuation of first sheet (2)" is to contain the text of the abstract
where an abstract or an amended abstract has been established by the
International Searching Authority (item 5) and an indication to that
effect is made on the first sheet. The "continuation of second sheet" is
to be used where the space on the second sheet is insufficient for the
citation of documents. Lastly, the "extra sheet" may be used whenever
additional space is required to complete information from the other
sheets.

It is to be noted that only the "second sheet", the "continuation of
second sheet" (if any) and the "continuation of first sheet (1)" (if
any), will be the subject of international publication, as the "first
sheet" and the "continuation of first sheet (2)" (if any) contain only
information which will already appear on the front page of the pamphlet.

The international search report must list the classification
identification of the fields searched using the IPC.

Where the international search report is entirely or partly based on a
previous search made for an application relating to a similar subject,
the relevant search files consulted for this previous search must also
be identified in the report as having been consulted for the
international application in question.

RESTRICTION OF THE SUBJECT OF THE INTERNATIONAL SEARCH

The report must indicate whether the search was restricted or not for
any of the reasons indicated below.

If any such restrictions were applied, the claims in respect of which a
search has not been carried out must be identified and the reasons of
this should be indicated.

The three categories where such restrictions may arise are:

(A) Lack of unity of invention;

(B) Claims drawn to subject matter excluded from the search;

(C) Claims in respect of which a meaningful search cannot be carried
out.

Form PTO/ISA/210. Patent Cooperation Treaty International Search
Report[GRAPHIC]

Form PTO/ISA/210-cont.[GRAPHIC]

Form PTO/ISA/210-cont.[GRAPHIC]

Form PTO/ISA/210-cont.[GRAPHIC]

AUTHENTICATION AND DATES

The identification of the International Searching Authority which
established the international search report and the date on which the
report was drawn up should be indicated in the search report. This date
should be that of the drafting of the report by the search examiner who
carried out the search. In addition to the date of actual completion of
the international search, the international search report shall also
indicate the date on which it was mailed to the applicant, which is
important for the computation of the time limit for filing amendments to
the claims under PCT Article 19. See PCT Rules 43.1 and 43.2.

The international search report shall indicate the name of an authorized
officer of the International Searching Authority which means the person
who actually performed the search work and prepared the search report.
See PCT Rule 43.8. Note that the name is required but not the signature.

CONTENTS OF THE INTERNATIONAL SEARCH REPORT

The international search report (PCT Rule 43) contains, among other
things, the citations of the documents considered to be relevant (PCT
Rule 43.5 and Administrative Instructions Section 503), the
classification of the subject matter of the invention (PCT Rule 43.3 and
Administrative Instructions Section 504) and an indication of the fields
searched (PCT Rule 43.6). Citations of particular relevance must be
specially indicated (Administrative Instructions Section 505); citations
of certain specific categories of documents are also indicated
(Administrative Instructions Section 507); citations which are not
relevant to all the claims must be cited in relation to the claim or
claims to which they are relevant (Administrative Instructions Section
508); if only certain passages of the cited document are particularly
relevant, they must be identified, for example, by indicating the page,
the column or the lines, where the passage appears.

---SECTION---1844.01 Time for the International Search Report

Publication of the international application occurs at 18 months from
the earliest priority date or, where there is no priority date, 18
months from the international application filing date. The Office goal
is to have the search report mailed in sufficient time to reach the
International Bureau by the end of 16 months from the priority date or 9
months from the filing date if no priority claim is made. This is
necessary since the technical preparations for publication are completed
by 17.5 months from the earliest priority date. In view of the treaty
mandated publication and the time needed for technical preparation, the
Office sets time periods for completion of the search report which will
ensure sufficient time to complete internal processing and review and
achieve receipt of search report at the International Bureau by the 16th
month from the priority date.  See PCT Rule 42.1 for time limit for the
search.

Thus, as a matter of practice, each examining group tends to set its
internal time period for completion of the search report to meet the
time limits set by the International Application Processing Division.
The International Application Processing Division sets its time for
completion to ensure adequate time for review, corrections (where
necessary) and mailing.

The date of transmittal of the search report becomes critical for
applicants since it starts the 2 month period for submission of
amendments to the claims under Article 19.  See PCT Rule 46.1.

The Patent Cooperation Treaty is extremely date sensitive and for that
reason, examiners are encouraged to complete the international search
and prepare the search report promptly after receipt. Monitoring and
tracking procedures have been devised to minimize the risk of late
search reports and/or date transmission thereof.

---SECTION---1846 Sections of the Articles, Regulations, and
Administrative Instructions Under the PCT Relevant to the International
Search

PCT Articles 15 - 20 (Appendix T);

PCT Rules 33 - 47 (Appendix T); and

Administrative Instructions Sections 501 - 516

(Appendix AI).

---SECTION---1847 Refund of International Search Fee

37 CFR 1.446 Refund of international application filing and processing
fees.

(a) Money paid for international application fees, where paid by actual
mistake or in excess, such as a payment not required by law or Treaty
and its Regulations, will be refunded.

(b) [Reserved]

(c) Refund of the supplemental search fees will be made if such refund
is determined to be warranted by the Commissioner or the Commissioner's
designee acting under PCT Rule 40.2(c).

(d) The international and search fees will be refunded if no inter
national filing date is accorded or if the application is withdrawn
before transmittal of the record copy to the International Bureau (PCT
Rules 15.6 and 16.2). The search fee will be refunded if the application
is withdrawn before transmittal of the search copy to the International
Searching Authority. The transmittal fee will not be refunded.

(e) The handling fee (Section  1.482(b)) will be refunded (PCT Rule
57.6) only if:

(1) The Demand is withdrawn before the Demand has been sent by the
International Preliminary Examining Authority to the International
Bureau, or

(2) The Demand is considered not to have been submitted (PCT Rule
54.4(a)).

Refund of the supplemental search fee will be made if the applicant is
successful in a protest (filed pursuant to  37 CFR 1.477) to a holding
of lack of unity of invention. The supplemental search fee must be paid
and be accompanied by (1) a protest and (2) a request for refund of the
supplemental search fee.

The search fee will be refunded if no international filing date is
accorded or if the application is withdrawn before the search copy is
transmitted to the International Searching Authority. The transmittal
fee will not be refunded.

Any request for refund of the search fee made after the search copy has
been transmitted to the International Searching Authority must be
directed to the International Searching Authority and not to the
Receiving Office. This is clearly necessary where applicant has chosen
the European Patent Office as the search authority.

---SECTION---1848 Sequence Listings Rule 13ter Nucleotide and/or Amino
Acid Sequence Listings

13ter.1. Sequence Listing for International Authorities

(a) Where the International Searching Authority finds that the
international application contains disclosure of one or more nucleotide
and/or amino acid sequences but:

(i) the international application does not contain a sequence listing
complying with the standard provided for in the Administrative
Instructions, that Authority may invite the applicant to furnish to it,
within a time limit fixed in the invitation, a sequence listing
complying with that standard;

(ii) the applicant has not already furnished a sequence listing in
computer readable form complying with the standard provided for in the
Administrative Instructions, that Authority may invite the applicant to
furnish to it, within a time limit fixed in the invitation, a sequence
listing in such a form complying with that standard.

(b)  	[Deleted]

(c) If the applicant does not comply with an invitation under paragraph
(a) within the time limit fixed in the invitation, the International
Searching Authority shall not be required to search the international
application to the extent that such noncompliance has the result that a
meaningful search cannot be carried out.

(d) Where the International Searching Authority finds that the
description does not comply with Rule 5.2(b), it shall invite the
applicant to file the required correction. Rule 26.4 shall apply mutatis
mutandis to any correction offered by the applicant. The International
Searching Authority shall transmit the correction to the receiving
Office and to the International Bureau.

(e) Paragraphs (a) and (c) shall apply mutatis mutandis to the procedure
before the International Preliminary Examining Authority.

(f) Any sequence listing not contained in the international application
as filed shall not, subject to Article 34, form part of the
international application. Administrative Instructions Section 513 
Sequence Listings

(a) Where the International Searching Authority receives a correction of
a defect under Rule 13  ter.1(d), it shall:

(i) indelibly mark, in the upper right-hand corner of each replacement
sheet, the international application number and the date on which that
sheet was received;

(ii) indelibly mark, in the middle of the bottom margin of each
replacement sheet, the words "SUBSTITUTE SHEET (RULE 13  ter.1(d))" or
their equivalent in the language of publication of the international
application;

(iii) indelibly mark on the letter containing the correction, or
accompanying any replacement sheet, the date on which that letter was
received;

(iv) keep in its files a copy of the letter containing the correction
or, when the correction is contained in a replacement sheet, the
replaced sheet, a copy of the letter accompanying the replacement sheet,
and a copy of the replacement sheet;

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

(b) Where the international search report is based on a sequence listing
that was not contained in the international application as filed but was
furnished subsequently to the International Searching Authority, the
international search report shall so indicate.

(c) Where a meaningful international search cannot be carried out
because a sequence listing is not available to the International
Searching Authority in the required form, that Authority shall so state
in the international search report.

(d) The International Searching Authority shall indelibly mark, in the
upper right-hand corner of the first sheet of any sequence listing in
printed form which was not contained in the international application as
filed but was furnished subsequently to that Authority, the words
"SUBSEQUENTLY FURNISHED SEQUENCE LISTING" or their equivalent in the
language of publication of the international application.

(e) The International Searching Authority shall keep in its files:

(i) any sequence listing in printed form which was not contained in the
international application as filed but was furnished subsequently to
that Authority; and

(ii) any sequence listing in computer readable form.

Where an international application contains disclosure of a nucleotide
and/or amino acid sequence, the description must contain a listing of
the sequence complying with the Standard specified in the Administrative
Instructions. See MPEP Section  1823.02. If the International Searching
Authority finds that an international application contains such a
disclosure but that the description does not include such a listing or
that the listing included does not comply with that Standard, the
International Searching Authority may invite the applicant to furnish a
listing complying with that Standard.

If the International Searching Authority finds that a sequence listing
is not in a computer readable form provided for in the Administrative
Instructions, it may invite the applicant to furnish a listing to it in
such a form.  Again, the International Searching Authority would invite
the applicant to supply the computer readable diskette or other
acceptable electronic medium.

An invitation from the International Searching Authority to furnish a
sequence listing complying with the Standard specified in the
Administrative Instructions, will specify a time limit for complying
with the invitation. Any sequence listing furnished by the applicant
must be accompanied by a statement to the effect that the listing does
not include matter which goes beyond the disclosure in the international
application as filed. If the applicant does not comply within that time
limit, the search undertaken by the International Searching Authority
may be restricted.

If the applicant wishes to include such a listing in the text of the
description itself, appropriate amendments may be made later under PCT
Article 34, provided that the applicant files a Demand for international
preliminary examination.

---SECTION---1849 Subject Matter Excluded From International Search

The examiner is not required to perform an international search on
claims which relate to any of the following subject matter:

(A) Scientific and mathematical theories;

(B) Plant or animal varieties or essentially biological processes for
the production of plants and animals, other than microbiological
processes and the products of such processes;

(C) Schemes, rules or methods of doing business, performing purely
mental acts or playing games;

(D) Methods for treatment of the human or animal body by surgery or
therapy, as well as diagnostic methods;

(E) Mere presentation of information; and

(F) Computer programs to the extent that the Authority is not equipped
to search prior art concerning such programs.

See PCT Rule 39. In addition, the examiner is not required to search the
international application, to the extent that a meaningful search cannot
be carried out, in certain cases where a nucleotide and/or amino acid
sequence listing is not furnished in accordance with the prescribed
standard or in a computer readable form. See Administrative Instructions
Section 513(c). However, the U.S. Patent & Trademark Office has declared
that it will search and examine all subject matter searched and examined
in U.S. national applications. If none of the claims are required to be
searched, the examiner will declare that no search report will be
established using form PCT/ISA/203. It should, nevertheless, be noted
that the lack of an international search report in such a case does not,
in itself, have any influence on the validity of the international
application, the processing of which, including its communication to the
designated Offices, continues.

---SECTION---1850 Unity of Invention Before the International Searching
Authority Rule 40 Lack of Unity of Invention (International Search)

40.1. Invitation to Pay

The invitation to pay additional fees provided for in Article 17(3)(a)
shall specify the reasons for which the international application is not
considered as complying with the requirement of unity of invention and
shall indicate the amount to be paid.

40.2. Additional Fees

(a) The amount of the additional fee due for searching under Article
17(3)(a) shall be determined by the competent International Searching
Authority.

(b) The additional fee due for searching under Article 17(3)(a) shall be
payable direct to the International Searching Authority.

(c) Any applicant may pay the additional fee under protest, that is,
accompanied by a reasoned statement to the effect that the international
application complies with the requirement of unity of invention or that
the amount of the required additional fee is excessive. Such protest
shall be examined by a three-member board or other special instance of
the International Searching Authority or any competent higher authority,
which, to the extent that it finds the protest justified, shall order
the total or partial reimbursement to the applicant of the additional
fee. On the request of the applicant, the text of both the protest and
the decision thereon shall be notified to the designated Offices
together with the international search report. The applicant shall
submit any translation thereof with the furnishing of the translation of
the international application required under Article 22.

(d) The three-member board, special instance or competent higher
authority, referred to in paragraph (c), shall not comprise any person
who made the decision which is the subject of the protest.

                  +++    

40.3. Time Limit

The time limit provided for in Article 17(3)(a) shall be fixed, in each
case, according to the circumstances of the case, by the International
Searching Authority; it shall not be shorter than 15 or 30 days,
respectively, depending on whether the applicant's address is in the
same country as or in a different country from that in which the
International Searching Authority is located, and it shall not be longer
than 45 days, from the date of the invitation. Administrative
Instructions Section 502 Transmittal of Protest Against Payment of
Additional Fee and Decision Thereon Where International Application Is
Considered to Lack Unity of Invention

The International Searching Authority shall transmit to the applicant,
preferably at the latest together with the international search report,
any decision which it has taken under Rule 40.2(c) on the protest of the
applicant against payment of an additional fee where the international
application is considered to lack unity of invention. At the same time,
it shall transmit to the International Bureau a copy of both the protest
and the decision thereon, as well as any request by the applicant to
forward the texts of both the protest and the decision thereon to the
designated Offices.

37 CFR 1.475 Unity of invention before the International Searching
Authority, the International Preliminary Examining Authority and during
the national stage.

(a) An international and a national stage application shall relate to
one invention only or to a group of inventions so linked as to form a
single general inventive concept ("requirement of unity of invention").
Where a group of inventions is claimed in an application, the
requirement of unity of invention shall be fulfilled only when there is
a technical relationship among those inventions involving one or more of
the same or corresponding special technical features. The expression
"special technical features" shall mean those technical features that
define a contribution which each of the claimed inventions, considered
as a whole, makes over the prior art.

(b) An international or a national stage application containing claims
to different categories of invention will be considered to have unity of
invention if the claims are drawn only to one of the following
combinations of categories:

(1) A product and a process specially adapted for the manufacture of
said product; or

(2) A product and a process of use of said product; or

(3) A product, a process specially adapted for the manufacture of the
said product, and a use of the said product; or

(4) A process and an apparatus or means specifically designed for
carrying out the said process; or

(5) A product, a process specially adapted for the manufacture of the
said product, and an apparatus or means specifically designed for
carrying out the said process.

(c) If an application contains claims to more or less than one of the
combinations of categories of invention set forth in paragraph (b) of
this section, unity of invention might not be present.

(d) If multiple products, processes of manufacture or uses are claimed,
the first invention of the category first mentioned in the claims of the
application and the first recited invention of each of the other
categories related thereto will be considered as the main invention in
the claims, see PCT Article 17(3)(a) and Section  1.476(c).

(e) The determination whether a group of inventions is so linked as to
form a single general inventive concept shall be made without regard to
whether the inventions are claimed in separate claims or as alternatives
within a single claim.

37 CFR 1.477 Protest to lack of unity of invention before the
International Searching Authority.

(a) If the applicant disagrees with the holding of lack of unity of
invention by the International Searching Authority, additional fees may
be paid under protest, accompanied by a request for refund and a
statement setting forth reasons for disagreement or why the required
additional fees are considered excessive, or both (PCT Rule 40.2(c)).

(b) Protest under paragraph (a) of this section will be examined by the
Commissioner or the Commissioner's designee. In the event that the
applicant's protest is determined to be justified, the additional fees
or a portion thereof will be refunded.

(c) An applicant who desires that a copy of the protest and the decision
thereon accompany the international search report when forwarded to the
Designated Offices, may notify the International Searching Authority to
that effect any time prior to the issuance of the international search
report. Thereafter, such notification should be directed to the
International Bureau (PCT Rule 40.2(c)).

THE REQUIREMENT FOR "UNITY OF INVENTION"

Any international application must relate to one invention only or to a
group of inventions so linked as to form a single general inventive
concept (PCT Article 3(4)(iii) and 17(3)(a), PCT Rule  3.1, and  37 CFR
1.475). Observance of this requirement is checked by the International
Searching Authority and may be relevant in the national (or regional)
phase.

The decision in Caterpillar Tractor Co. v.   Commissioner of Patents and
Trademarks, 231 USPQ 590 (E.D. Va. 1986) held that the Patent and
Trademark Office interpretation of  37 CFR 1.141(b)(2) as applied to
unity of invention determinations in international applications was not
in accordance with the Patent Cooperation Treaty and its implementing
regulations. In the Caterpillar international application, the USPTO
acting as an International Searching Authority, had held lack of unity
of invention between a set of claims directed to a process for forming a
sprocket and a set of claims drawn to an apparatus (die) for forging a
sprocket. The court stated that it was an unreasonable interpretation to
say that the expression "specifically designed" as found in former PCT
Rule 13.2(ii) means that the process and apparatus have unity of
invention if they can only be used with each other, as was set forth in
MPEP Section  806.05(e).

Therefore, when the Office considers international applications as an
International Searching Authority, as an International Preliminary
Examining Authority, and during the national stage as a Designated or
Elected Office under  35 U.S.C. 371, PCT Rule 13.1 and 13.2 will be
followed when considering unity of invention of claims of different
categories without regard to the practice in national applications filed
under  35 U.S.C. 111. No change was made in restriction practice in
United States national applications filed under  35 U.S.C. 111 outside
the PCT.

In applying PCT Rule 13.2 to international applications as an
International Searching Authority, an International Preliminary
Examining Authority and to national stage applications under  35 U.S.C.
371, examiners should consider for unity of invention all the claims to
different categories of invention in the application and permit
retention in the same application for searching and/or preliminary
examination, claims to the categories which meet the requirements of PCT
Rule 13.2.

PCT Rule 13.2, as it was modified effective July 1, 1992, no longer
specifies the combinations of categories of invention which are
considered to have unity of invention. Those categories, which now
appear as a part of Annex B to the Administrative Instructions, has been
substituted with a statement describing the method for determining
whether the requirement of unity of invention is satisfied. Unity of
invention exists only when there is a technical relationship among the
claimed inventions involving one or more special technical features. The
term "special technical features" is defined as meaning those technical
features that define a contribution which each of the inventions
considered as a whole, makes over the prior art. The determination is
made based on the contents of the claims as interpreted in light of the
description and drawings. Annex B also contains examples concerning
unity of invention.

A. Independent and Dependent Claims

Unity of invention has to be considered in the first place only in
relation to the independent claims in an international application and
not the dependent claims. By "dependent" claim is meant a claim which
contains all the features of another claim and is in the same category
of claim as that other claim (the expression "category of claim"
referring to the classification of claims according to the subject
matter of the invention claimed, for example, product, process, use or
apparatus or means, etc.).

If the independent claims avoid the prior art and satisfy the
requirement of unity of invention, no problem of lack of unity arises in
respect of any claims that depend on the independent claims. In
particular, it does not matter if a dependent claim itself contains a
further invention. Equally, no problem arises in the case of a
genus/species situation where the genus claim avoids the prior art. 
Moreover, no problem arises in the case of a combination/subcombination
situation where the subcombination claim avoids the prior art and the
combination claim includes all the features of the subcombination.

If, however, an independent claim does not avoid the prior art, then the
question whether there is still an inventive link between all the claims
dependent on that claim needs to be carefully considered.  If there is
no link remaining, an objection of lack of unity (that is, arising only
after assessment of the prior art) may be raised.  Similar
considerations apply in the case of a genus/species or
combination/subcombination situation.

This method for determining whether unity of invention exists is
intended to be applied even before the commencement of the international
search. Where a search of the prior art is made, an initial
determination of unity of invention, based on the assumption that the
claims avoid the prior art, may be reconsidered on the basis of the
results of the search of the prior art.

B. Illustrations of Particular Situations

There are three particular situations for which the method for
determining unity of invention contained in PCT Rule 13.2 is explained
in greater detail:

(A) Combinations of different categories of claims;

(B) So-called "Markush practice"; and

(C) Intermediate and final products.

Principles for the interpretation of the method contained in PCT Rule
13.2, in the context of each of those situations are set out below. It
is understood that the principles set out below are, in all instances,
interpretations of and not exceptions to the requirements of PCT Rule
13.2.

Examples to assist in understanding the interpretation on the three
areas of special concern referred to in the preceding paragraph are set
out below.

C. Combinations of Different Categories of Claims

The method for determining unity of invention under PCT Rule 13 shall be
construed as permitting, in particular, the inclusion of any one of the
following combinations of claims of different categories in the same
international application:

(A) In addition to an independent claim for a given product, an
independent claim for a process specially adapted for the manufacture of
the said product, and an independent claim for a use of the said
product; or

(B) In addition to an independent claim for a given process, an
independent claim for an apparatus or means specifically designed for
carrying out the said process; or

(C) In addition to an independent claim for a given product, an
independent claim for a process specially adapted for the manufacture of
the said product and an independent claim for an apparatus or means
specifically designed for carrying out the said process, it being
understood that a process is specially adapted for the manufacture of a
product if it inherently results in the product and that an apparatus or
means is specifically designed for carrying out a process if the
contribution over the prior art of the apparatus or means corresponds to
the contribution the process makes over the prior art.

Thus, a process shall be considered to be specially adapted for the
manufacture of a product if the claimed process inherently results in
the claimed product with the technical relationship being present
between the claimed product and claimed process. The words "specially
adapted" are not intended to imply that the product could not also be
manufactured by a different process.

Also an apparatus or means shall be considered to be specifically
designed for carrying out a claimed process if the contribution over the
prior art of the apparatus or means corresponds to the contribution the
process makes over the prior art.  Consequently, it would not be
sufficient that the apparatus or means is merely capable of being used
in carrying out the claimed process. However, the expression
specifically designed does not imply that the apparatus or means could
not be used for carrying out another process, nor that the process could
not be carried out using an alternative apparatus or means.

D. "Markush Practice"

The situation involving the so-called Markush practice wherein a single
claim defines alternatives (chemical or non-chemical) is also governed
by PCT Rule 13.2.  In this special situation, the requirement of a
technical interrelationship and the same or corresponding special
technical features as defined in PCT Rule 13.2, shall be considered to
be met when the alternatives are of a similar nature.

When the Markush grouping is for alternatives of chemical compounds,
they shall be regarded as being of a similar nature where the following
criteria are fulfilled:

(A) All alternatives have a common property or activity; and

(B)(1) A common structure is present, i.e., a significant structural
element is shared by all of the alternatives; or

(C)(2) In cases where the common structure cannot be the unifying
criteria, all alternatives belong to a recognized class of chemical
compounds in the art to which the invention pertains.

In paragraph (B)(1), above, the words "significant structural element is
shared by all of the alternatives"  refer to cases where the compounds
share a common chemical structure which occupies a large portion of
their structures, or in case the compounds have in common only a small
portion of their structures, the commonly shared structure constitutes a
structurally distinctive portion in view of existing prior art.  The
structural element may be a single component or a combination of
individual components linked together.

In paragraph (C)(2), above, the words "recognized class of chemical
compounds" mean that there is an expectation from the knowledge in the
art that members of the class will behave in the same way in the context
of the claimed invention.  In other words, each member could be
substituted one for the other, with the expectation that the same
intended result would be achieved.

The fact that the alternatives of a Markush grouping can be differently
classified shall not, taken alone, be considered to be justification for
a finding of a lack of unity of invention.

When dealing with alternatives, if it can be shown that at least one
Markush alternative is not novel over the prior art, the question of
unity of invention shall be reconsidered by the examiner.
Reconsideration does not necessarily imply that an objection of lack of
unity shall be raised.

E. Intermediate and Final Products

The situation involving intermediate and final products is also governed
by PCT Rule 13.2.

The term intermediate is intended to mean intermediate or starting
products.  Such products have the ability to be used to produce final
products through a physical or chemical change in which the intermediate
loses its identity.

Unity of invention shall be considered to be present in the context of
intermediate and final products where the following two conditions are
fulfilled:

(A) The intermediate and final products have the same essential
structural element, in that:

(1) The basic chemical structures of the intermediate and the final
products are the same, or

(2) The chemical structures of the two products are technically closely
interrelated, the intermediate incorporating an essential structural
element into the final product; and

(B) The intermediate and final products are technically interrelated,
this meaning that the final product is manufactured directly from the
intermediate or is separated from it by a small number of intermediates
all containing the same essential structural element.

Unity of invention may also be considered to be present between
intermediate and final products of which the structures are not known,
for example, as between an intermediate having a known structure and a
final product the structure of which is not known, or as between an
intermediate of unknown structure and a final product of unknown
structure. In order to satisfy unity in such cases, there shall be
sufficient evidence to lead one to conclude that the intermediate and
final products are technically closely interrelated as, for example,
when the intermediate contains the same essential element as the final
product or incorporates an essential element into the final product.

It is possible to accept in a single international application different
intermediate products used in different processes for the preparation of
the final product, provided that they have the same essential structural
element.

The intermediate and final products shall not be separated, in the
process leading from one to the other, by an intermediate which is not
new.

If the same international application claims different intermediates for
different structural parts of the final product, unity shall not be
regarded as being present between the intermediates.

If the intermediate and final products are families of compounds, each
intermediate compound shall correspond to a compound claimed in the
family of the final products. However, some of the final products may
have no corresponding compound in the family of the intermediate
products so that the two families need not be absolutely congruent.

As long as unity of invention can be recognized applying the above
interpretations, the fact that, besides the ability to be used to
produce final products, the intermediates also exhibit other possible
effects or activities shall not affect the decision on unity of
invention.

PCT Rule 13.3 requires that the determination of the existence of unity
of invention be made without regard to whether the inventions are
claimed in separate claims or as alternatives within a single claim.

PCT Rule 13.3 is not intended to constitute an encouragement to the use
of alternatives within a single claim, but is intended to clarify that
the criterion for the determination of unity of invention (namely, the
method contained in Rule 13.2) remains the same regardless of the form
of claim used.

PCT Rule 13.3 does not prevent an International Searching or Preliminary
Examining Authority or an Office from objecting to alternatives being
contained within a single claim on the basis of considerations such as
clarity, the conciseness of claims or the claims fee system applicable
in that Authority or Office.

LACK OF UNITY OF INVENTION

See Annex B of the Administrative Instructions for examples of unity of
invention.

The search fee which the applicant is required to pay is intended to
compensate the International Searching Authority for carrying out an
international search on the international application, but only where
the international application meets the "requirement of unity of
invention". That means that the international application must relate to
only one invention or must relate to a group of inventions which are so
linked as to form a single general inventive concept (PCT Articles
3(4)(iii) and 17(3)(a)).

If the International Searching Authority finds that the international
application does not comply with the requirement of unity of invention,
the applicant will be invited to pay additional search fees. The
International Searching Authority will specify the reasons for its
findings and indicate the number of additional fees to be paid (PCT
Rules 40.1, 40.2(a) and (b)). Such additional fees are payable directly
to the International Searching Authority which is conducting the search,
either the United States Patent and Trademark Office or European Patent
Office, within the time limit fixed, which must not be shorter than 15
days, if the applicant's address is in the same country as the
International Searching Authority; or 30 days, if applicant's address is
in a country different than the country of the International Searching
Authority; and not longer than 45 days from the date of the invitation
(PCT Rule 40.3). The search fee amounts for the U.S. and the European
Patent Office are found in each weekly edition of the Official Gazette.

The International Searching Authority will establish the international
search report on those parts of international application which relate
to the "main invention," that is, the invention or the group of
inventions so linked as to form a single general inventive concept first
mentioned in the claims (PCT Article 17 (3)(a)).  Moreover, the
international search report will be established also on those parts of
the international application which relate to any invention (or any
group of inventions so linked as to form a single general inventive
concept) in respect of which the applicant has paid any additional fee
within the prescribed time limits.

Any applicant may pay the additional fee under protest, that is,
accompanied by a reasoned statement to the effect that the international
application complies with the requirement of unity of invention or that
the amount of the required additional fee is excessive (PCT Rule
40.2(c)). Any such protest filed with the U.S. International Searching
Authority will be examined and decided by the Group Director (37 CFR
1.477). To the extent that the applicant's protest is found to be
justified, total or partial reimbursement of the additional fee will be
made. On the request of the applicant, the text of both the protest and
the decision thereon is sent to the designated Offices together with the
international search report (37 CFR 1.477).

Where, within the prescribed time limit, the applicant does not pay any
additional fees or only pays some of the additional fees indicated,
certain parts of the international application will consequently not be
searched. The lack of an international search report in respect of such
parts of the international application will, in itself, have no
influence on the validity of the international application and
processing of the international application will continue, both in the
international and in the national (regional) phases. The unsearched
claims, upon entry into the national stage, will be considered by the
examiner and may be the subject of a holding of lack of unity of
invention.

See MPEP Section  1875.01 for telephone unity practice. It applies in
the same manner under Chapter I.

UNITY OF INVENTION - NUCLEOTIDE SEQUENCES

Under  37 CFR 1.475 and 1.499 et seq., when claims do not comply with
the requirement of unity of invention, i.e., when the claimed subject
matter does not involve "one or more of the same or corresponding
special technical features,"  37 CFR 1.475(a), an additional fee is
required to maintain the claims in the same application.  37 CFR 1.476
(b).

The Commissioner has decided sua sponte to partially waive  37 CFR 1.475
and 1.499 et seq. to permit applicants to claim up to ten (10)
nucleotide sequences that do not have the same or corresponding special
technical feature without the payment of an additional fee.  The PCT
permits inventions that lack unity of invention to be maintained in the
same international application for payment of additional fees. Thus, in
international applications, for each group for which applicant has paid
additional international search and/or preliminary examination fees, the
PTO has determined that up to four (4) such additional sequences per
group is a reasonable number for examination.  Further, claims directed
to the selected sequences will be examined with claims drawn to any
sequence combinations which have a common technical feature with the
selected sequences. Nucleotide sequences encoding the same protein are
considered to satisfy the unity of invention standard and will continue
to be examined together.

See MPEP Section  803.04 for examples of nucleotide sequence claims
impacted by this partial waiver of  37 CFR 1.475 and 1.499 et seq.

---SECTION---1851 Identification of Patent Documents

The examiner, in completing the international search report as well as
the Chapter II written opinion and final report, is required to cite the
references in accordance with the provisions of Administrative
Instructions 503 and 611. These sections of the Administrative
Instructions require reference citations to include, in addition to
other information which is apparent from the forms which the examiner
fills out, an indication of the two-letter country code of the country
or entity issuing or publishing the document and the standard code for
identifying the kind of patent document. The discussion which follows is
limited to the identification of patent documents (and nonpatent
publications) and a listing of the two-letter country codes for
countries or other entities which issue or publish industrial property
information.

The standard codes for identifying different kinds of patent documents
are found in the "WIPO Handbook on Industrial Property Information and
Documentation" - WIPO Standard ST.16 which is published by the World
Intellectual Property Organization. The listing is extensive. The
Special Program Examiner in each examining Group has a complete copy of
Standard ST.16. Provided herein is an abbreviated version representing
the countries and codes commonly used by the examiner in preparing
search reports.

U.S. patent documents, for example, are Code A documents generally.
Reexamination certificates are Code B documents. All nonpatent
literature documents are Code N. Numerical designations which are
sometimes found on published documents along with the letter code
designation should be used by the examiner only if such numerical
designation is on the document. Numerical codes along with letter codes
can be found, for example, on certain published patent documents such as
the German Offenlegungsschrift and published international applications.
If numerical designations are not provided, the examiner should use only
the letter code designation.

The most commonly cited documents are patents. A guideline for the
citation of such documents is listed below. The listing is indicated in
the order in which the elements should be listed.

In the case of a patent document:

(A) The Office that issued the document, by the two letter code (WIPO
Standard ST.3);

(B) The number of the document as given to it by the Office that issued
it (for Japanese patent documents the indication of the year of the
reign of the Emperor must precede the serial number of the patent
document);

(C) The kind of document, by the appropriate symbols as indicated on the
original document or as given in Appendix II to WIPO Standard ST.16;

(D) The name of the patentee or applicant (in capital letters, where
appropriate, abbreviated);

(E) The date of publication of the cited patent document indicated
thereon;

(F) Where applicable, the pages, columns or lines where the relevant
passages appear, or the relevant figures of the drawings.

The following examples illustrate the citation of a patent document as
indicated above:

JP 50-14535 B (NCR CORP.) 28 May 1975 (28.05.75), see column 4, lines 3
to 27.

DE 3744403 A1 (A. JOSEF) 29 August 1991 (29-08-91), page 1, abstract.

US 4,540,573 A (NEURATH et al.) 10 September 1985 (10/09/85), see entire
document, especially column 1, lines 10-23.

STANDARD CODE FOR THE IDENTIFICATION OF DIFFERENT KINDS OF PATENT
DOCUMENTS

The Code is subdivided into mutually exclusive groups of letters. The
groups characterize patent documents, nonpatent literature documents
(N), and restricted documents (X). Groups 1-7 comprise letters enabling
identification of documents pertaining to different publication levels.



Group 1 Use for the primary or major series of patent documents
(excluding the utility model documents of Group 2 and the special series
of patent documents of Group 3, below)

   A First publication level

   B Second publication level

   C Third publication level

Group 2 Use for utility model documents having a numbering series other
than the documents of Group 1

    U First publication level

    Y Second publication level

    Z Third publication level

Group 3 Use for major special types of patent documents

    M Medicament patent documents

    P Plant patent documents

    S Design patent documents

Group 4 Use for special types of patent documents or documents derived
from/relating to patent applications and not covered by Groups 1 to 3
above:

    L Documents, not covered by letter code W, relating to patent
documents and containing bibliographic information and only the text of
an abstract and/or claim(s) and, where appropriate, a drawing.

    R Separately published search reports

    T Publication, for information or other purposes, of the translation
of the whole or part of a patent document already published by another
office or organization

    W Documents relating to utility model documents falling in Group 2
and containing bibliographic information and only the text of an
abstract and/or claim(s) and, where appropriate, a drawing

Group 5 Use for series of patent documents not covered by Groups 1 to 4,
above

    E First publications level

    F Second publication level

    G Third publication level

Group 6 Use for series of patent documents or documents derived
from/relating to patent applications not covered by Groups 1 to 5 above,
according to the special requirements of each industrial property office

   H

    I

Group 7 Other

   N Non-patent literature documents

   X Documents restricted to the internal use of industrial property
offices

List of Patent Documents, Past and Currently Published, and Intended to
Be Published in the Future



CODE:  A	Patent Documents Identified as Primary or Major Series - First
Publication Level

	

EXAMPLES:	

Australia	Standard or petty patent application

Austria	Patent application (Aufgebot)

Belgium	Brevet d'invention/Uitvindingsoctrooi

Belgium	Brevet de perfectionnement/Verbeteringsoctrooi

Brazil	Pedido de privil&eacute;gio (Unexamined patent application for
invention)

Bulgaria	Patentna zajavka predostavena za publichna inspektzija (Patent
application made available to the public)

Canada	Patent (prior to October 1, 1989, under previous Patent Act)

Canada	Patent application laid open to public inspection under amended
Patent Act, as of October 1, 1989)

Cuba	Patent application

Czechoslovakia	Patent application

Czechoslovakia	Inventor"s certificate application

Denmark	Almindeligt tilgaengelig patentans&oslash;gning

Egypt	Patent specification

European Patent Office	Patent application published with search report

European Patent Office	Patent application published without search
report

European Patent Office	Separate publication of the search report

Finland	Julkiseksi tullut patenttihakemus-Allm&auml;nt tillg&auml;nglig
patentans&ouml;kan

France	Brevet d"invention, premi&egrave;re et unique publication

France	Certificat d"addition &agrave; un brevet d"invention,
premi&eacute;re et unique publication

France	Certificat d"utilit&eacute;, premi&eacute;re et unique
publication

France	Certificat d"addition &agrave; uncertificat d"utilit&eacute;,
premi&eacute;re et unique publication

France	Demande de brevet d"invention, premi&eacute;re publication

France	Demande de certificat d"addition &agrave; un brevet d"invention,
premi&eacute;re publication

France	Demande de certificat d"utilit&eacute;, premi&eacute;re
publication

France	Demande de certificat d"addition &agrave; un certificat
d"utilit&eacute;, premi&eacute;re publication

Germany	Offenlegungsschrift

Germany  (document published by the Patent Office of the former GDR)	
Patentschrift (Ausschliessungspatent), patent granted in accordance with
paragraph 17.1 of the Patent Law of the former German Democratic
Republic of October 27, 1983

Germany  (document published by the Patent Office of the former GDR)	
Patentschrift (Wirtschaftspatent), patent granted in accordance with
paragraph 17.1 of the Patent Law of the former German Democratic
Republic of October 27, 1983

Hungary	Patent application

India	Patent specification

Ireland	Patent specification

Italy	Domanda di brevetto publicata

Japan	K&ocirc;kai tokkyo k&ocirc;h&ocirc;

Japan	K&ocirc;hyo tokkyo k&ocirc;h&ocirc;

Luxembourg	Brevet d"invention

Luxembourg	Certificat d"addition &agrave; un brevet d"invention

Netherlands	Terinzagegelegging

Norway	Alment tilgjengelige patents&ouml;knader

Pakistan	Patent specification

Poland	Opis zgloszeniowy wynalazku

Republic of   Korea	Konggae t"ukho kongbo

Romania	Descrierea inventiei

Soviet Union	Opisanie izobreteniya k patentu

Soviet Union	Opisanie izobreteniya k avtorskomu svidetelstvu

Spain	Patente de invenci&oacute;n

Sweden	Allmant tillganglig patentansokan

Switzerland	Auslegeschrift/Fascicule de la demande/Fascicolo della
domanda (Patent Application published and pertaining to the technical
fields for which search and examination as to novelty are made)

Switzerland	Patentschrift/Fascicule du brevet/Fascicolo del brevetto
(Patent published and pertaining to the technical fields for which
neither search nor examination as to novelty are made)

United Kingdom	Patent specification (old Law; not printed on documents)

United Kingdom	Patent application (new Law)

United States	Patent

World Intellectual Property   Organization	International application
published with or without the international search report

Yugoslavia	Patenta prijava koja se moze razgledati

	

CODE:  B	Patent Documents Identified as Primary or Major Series -Second
Publication Level

	

  EXAMPLES:	

Australia	Accepted standard or petty patent

Austria	Patentschrift

Brazil	Patente (granted patent of invention)

Canada	Reissue patent (prior to October 1, 1989, under previous Patent
Act)

Cuba	Patente de invenci&oacute;n

Czechoslovakia	Popis vynalezu k patentu

Czechoslovakia	Popis vynalezu k autorskemu osvedceni

Denmark	Fremlaeggelsesskrift (old Law)

Denmark	Patentskrift

Finland	Kuulutusjulkaisu - Utl&auml;ggningsskrift

France	Brevet d"invention, deuxi&egrave;me publication de l"invention

France	Certificat d"addition &agrave; un brevet d" invention,
deuxi&egrave;me publication de l"invention

France	Certificat d"utilit&eacute;, deuxi&egrave;me publication
del"invention

France	Certificat d"addition &agrave; un certificat d"utilit&eacute;,
deuxi&egrave;me publication de l"invention

Germany	Auslegeschrift

Germany  (document published by the Patent Office of the former GDR)	
Patentschrift (Ausschliessungspatent), patent granted in accordance with
paragraph 18.1 of the Patent Law of the former German Democratic
Republic of October 27, 1983

Germany  (document pub lished by the Patent Office of the former GDR)	
Patentschrift (Wirtschaftspatent), patent granted in accordance with
paragraph 18.1 of the Patent Law of the former German Democratic
Republic of October 27, 1983

Hungary	Szabadalmi leiras

Japan	Tokkyo k&ocirc;h&ocirc;

Netherlands	Openbaar gemaakte octrooiaanvrage

Norway	Utlegningsskrift

Poland	Opis patentowy

Republic of    Korea	T"ukho kongbo

Switzerland	Patentschrift/Fascicule du brevet/Fascicolo del brevetto
(Patent published and pertaining to the technical fields for which
search and examination as to novelty are made)

United Kingdom	Amended patent specification (old Law)

United Kingdom	Patent specification (new Law)

United States	Reexamination certificate

	

CODE:  C	Patent Documents Identified as Primary or Major Series - Third
Publication Level

	

EXAMPLES:	

Argentina	Patente de invenci&oacute;n (Patent)

Australia	Standard or petty patent, amended after acceptance

Denmark	Patentskrift (old Law)

Finland	Patentti (Patent)

Germany	Patentschrift

Germany  (document published by the Patent Office of the former GDR)	
Patentschrift (Ausschliessungspatent), Patent granted in accordance with
paragraph 19 of the Patent Law of the former German Democratic Republic
of October 27, 1983

Netherlands	Octrooi

Norway	Patent

Sweden	Patentskrift

United Kingdom	Amended patent specification (new Law)

	

CODE:  E	Patent Documents Identified as Series Other Than the Documents
Coded A, B, C, U, Y, Z, M, P, S, T, W, L or R - First Publication Level

	

EXAMPLES:	

France	Certificat d'addition &agrave; brevet d'invention (old Law)

United States	Reissue patent

	

CODE:  H	Patent Documents Identified in Series According to Special
Requirements of Individual Industrial Property Offices

	

  EXAMPLE:	

   United States	Statutory invention registration

	

CODE M: 	Medicament Patent Documents

	

EXAMPLES:	

France	Brevet sp&eacute;cial de m&eacute;dicament

France	Addition &agrave; un brevet sp&eacute;cial de m&eacute;dicament

	

CODE:  P	Plant Patent Documents

	

  EXAMPLE:	

   United States	Plant patent

	

CODE:  S	Design Patent Documents

	

EXAMPLES:	

   Brazil	Pedido de privil&eacute;gio (unexamined patent application for
industrial model)

   United States	Design patent

	

CODE:  U	Utility Model Documents Numbered in Series other than the
Documents of Group I- First Publication Level

	

  EXAMPLES:	

   Brazil	Pedido de privil&eacute;gio (unexamined patent application for
industrial model)

Germany	Gebrauchsmuster

Japan	K&ocirc;kai jitsuy&ocirc; shin-an k&ocirc;h&ocirc; (Published
unexamined utility model application)

Republic of   Korea	Konggae shilyong shin-an kongbo

Spain	Solicitud de modelo de utilidad

	

CODE: Y	Utility Model Documents Numbered in Series other than the
Documents of Group I-  Second Publication Level

	

EXAMPLES:	

   Brazil	Patente (granted patent of utility model)

  Japan	Jitsuy&ocirc; shin-an k&ocirc;h&ocirc; (Published examined
utility model application)

   Spain	Model o de utilidad

Country Codes

The two-letter country codes listed below are set forth in WIPO Standard
ST.3, which is published in the "WIPO Handbook on Industrial Property
Information and Documentation" and is accessible via the internet at the
WIPO website (www.wipo.org). WIPO Standard ST.3  provides, in Annex A,
Section 1, a listing of two-letter country codes and/or organizational
codes in alphabetic sequence of their short names for the states, other
entities and intergovernmental organizations issuing or publishing
industrial property documents. Codes for states or organizations that
existed on January 1, 1978 but that no longer exist are provided in
Annex B, Section 2.



Annex A, Section 1

  List of States, Other Entities and Intergovernmental Organizations, in
Alphabetic Sequence of Their Short Names, and Their Corresponding Codes

	

Afghanistan	AF

African Intellectual Property  	Organization (OAPI)	OA

African Regional Industrial Property 	Organization (ARIPO)	AP

Albania	AL

Algeria	DZ

American Samoa	AS

Angola	AO

Anguilla	AI

Antigua and Barbuda	AG

Argentina	AR

Armenia 	AM

Aruba	AW

Australia	AU

Austria	AT

Azerbaijan	AZ

Bahamas	BS

Bahrain	BH

Bangladesh	BD

Barbados	BB

Belarus	BY

Belgium	BE

Belize	BZ

Benelux Trademark Office (BBM)   	and Benelux Designs Office 			(BBDM)	
BX

Benin	BJ

Bermuda	BM

Bhutan	BT

Bolivia	BO

Bosnia and Herzegovina	BA

Botswana	BW

Bouvet Island	BV

Brazil	BR

Brunei Darussalam	BN

Bulgaria	BG

Burkina Faso	BF

Burundi	BI

Cambodia	KH

Cameroon	CM

Canada	CA

Cape Verde	CV

Cayman Islands	KY

Central African Republic	CF

Chad	TD

Chile	CL

China	CN

Colombia	CO

Comoros	KM

Congo	CG

Cook Islands	CK

Costa Rica	CR

C&ocirc;te d'Ivoire	CI

Croatia	HR

Cuba	CU

Cyprus	CY

Czech Republic	CZ

Democratic People's Republic 	of Korea	KP

Denmark	DK

Djibouti	DJ

Dominica	DM

Dominican Republic	DO

East Timor	TP

Ecuador	EC

Egypt	EG

El Salvador	SV

Equatorial Guinea	GQ

Eritrea	ER

Estonia	EE

Ethiopia	ET

Eurasian Patent Organization  	(EAPO)	EA

European Community  	Trademark Office (See Office  	for Harmonization in
the Internal 			Market)	EP

European Patent Office (EPO)	EP

Falkland Islands (Malvinas)	FK

Faroe Islands	FO

Fiji	FJ

Finland	FI

France	FR

Gabon	GA

Gambia	GM

Georgia	GE

Germany	DE

Ghana	GH

Gibraltar	GI

Greece	GR

Greenland	GL

Grenada	GD

Guatemala	GT

Guinea	GN

Guinea-Bissau	GW

Guyana	GY

Haiti	HT

Holy See	VA

Honduras	HN

Hong Kong	HK

Hungary	HU

Iceland	IS

India	IN

Indonesia	ID

International Bureau of the World  	Intellectual Property Organization 			
(WIPO)	IB, WO

Iran (Islamic Republic of)	IR

Iraq	IQ

Ireland	IE

Israel	IL

Italy	IT

Jamaica	JM

Japan	JP

Jordan	JO

Kazakstan	KZ

Kenya	KE

Kiribati	KI

Korea (See Democratic People's 	Republic of Korea; Republic of 	Korea)	

Kuwait	KW

Kyrgyzstan	KG

Laos	LA

Latvia	LV

Lebanon	LB

Lesotho	LS

Liberia	LR

Libya	LY

Liechtenstein	LI

Lithuania	LT

Luxembourg	LU

Macau	MO

Madagascar	MG

Malawi	MW

Malaysia	MY

Maldives	MV

Mali	ML

Malta	MT

Marshall Islands	MH

Mauritania	MR

Mauritius	MU

Mexico	MX

Micronesia (Federal States of)	FM

Monaco	MC

Mongolia	MN

Montserrat	MS

Morocco	MA

Mozambique	MZ

Myanmar	MM

Namibia	NA

Nauru	NR

Nepal	NP

Netherlands	NL

Netherlands Antilles	AN

New Zealand	NZ

Nicaragua	NI

Niger	NE

Nigeria	NG

Northern Mariana Islands	MP

Norway	NO

Office for Harmonization in the  	Internal Market (Trademarks and  	
Designs) (OHIM)	EM

Oman	OM

Pakistan	PK

Palau	PW

Panama	PA

Papua New Guinea	PG

Paraguay	PY

Peru	PE

Philippines	PH

Poland	PL

Portugal	PT

Qatar	QA

Republic of Korea	KR

Republic of Moldova	MD

Romania	RO

Russian Federation	RU

Rwanda	RW

Saint Helena	SH

Saint Kitts and Nevis	KN

Saint Lucia	LC

Saint Vincent and the Grenadines	VC

Samoa	WS

San Marino	SM

Sao Tome and Principe	ST

Saudi Arabia	SA

Senegal	SN

Seychelles	SC

Sierra Leone	SL

Singapore	SG

Slovakia	SK

Slovenia	SI

Solomon Islands	SB

Somalia	SO

South Africa	ZA

South Georgia and the South  	Sandwich Islands	GS

Spain	ES

Sri Lanka	LK

Sudan	SD

Suriname	SR

Swaziland	SZ

Sweden	SE

Switzerland	CH

Syria	SY

Taiwan, Province of China	TW

Tajikistan	TJ

Thailand	TH

The Former Yugoslav Republic  	of Macedonia	MK

Togo	TG

Tonga	TO

Trinidad and Tobago	TT

Tunisia	TN

Turkey	TR

Turkmenistan	TM

Turks and Caicos Islands	TC

Tuvalu	TV

Uganda	UG

Ukraine	UA

United Arab Emirates	AE

United Kingdom	GB

United Republic of Tanzania	TZ

United States of America	US

Uruguay	UY

Uzbekistan	UZ

Vanuatu	VU

Vatican City State (See Holy See)	

Venezuela	VE

Viet Nam	VN

Virgin Islands (British)	VG

Western Sahara	EH

World Intellectual Property  	Organization (WIPO)  	(International
Bureau of)	WO, IB

Yemen	YE

Yugoslavia	YU

Zaire	ZR

Zambia	ZM

Zimbabwe	ZW

Annex B, Section 2

  List of States or Organizations That Existed on January 1, 1978, But
That No Longer Exist

Czechoslovakia	CS

Democratic Yemen	SY/YD

German Democratic Republic	DL/DD

International Patent Institute	IB

Soviet Union	SU

---SECTION---1852 International-Type Search Rule 41 Earlier Search Other
Than International Search

41.1. Obligation to Use Results; Refund of Fee

If reference has been made in the request, in the form provided for in
Rule 4.11, to an international-type search carried out under the
conditions set out in Article 15(5) or to a search other than an
international or international-type search, the International Searching
Authority shall, to the extent possible, use the results of the said
search in establishing the international search report on the
international application. The International Searching Authority shall
refund the search fee, to the extent and under the conditions provided
for in the agreement under Article 16(3)(b) or in a communication
addressed to and published in the Gazette by the International Bureau,
if the international search report could wholly or partly be based on
the results of the said search.

37 CFR 1.104 Nature of examination.

(a)  	Examiner's action.

                  +++    

(3) An international-type search will be made in all national
applications filed on and after June 1, 1978.

(4) Any national application may also have an international-type search
report prepared thereon at the time of the national examination on the
merits, upon specific written request therefor and payment of the
international-type search report fee set forth in Section  1.21(e). The
Patent and Trademark Office does not require that a formal report of an
international-type search be prepared in order to obtain a search fee
refund in a later filed international application.

                  +++    

PCT Rule 41 provides that the applicant may request in a later filed
international application that the report of the results of the
international-type search, i.e., a search similar to an international
search, but carried out on a national application (37 CFR 1.104(a)(3)
and (a)(4)), be used in establishing an international search report on
such international application. An international-type search is
conducted on all U.S. national nonprovisional applications filed after
June 1, 1978. Upon specific request, at the time of the examination of a
U.S. national nonprovisional application and provided that the payment
of the appropriate international-type search report fee has been made
(37 CFR 1.21(e)) an international-type search report Form PCT/ISA/201
will also be prepared.

---SECTION---1853 Amendment Under PCT Article 19 Article 19 Amendment of
the Claims before the International Bureau

(1) The applicant shall, after having received the international search
report, be entitled to one opportunity to amend the claims of the
international application by filing amendments with the International
Bureau within the prescribed time limit. He may, at the same time, file
a brief statement, as provided in the Regulations, explaining the
amendments and indicating any impact that such amendments might have on
the description and the drawings.

(2) The amendments shall not go beyond the disclosure in the
international application as filed.

(3) If the national law of any designated State permits amendments to go
beyond the said disclosure, failure to comply with paragraph (2) shall
have no consequence in that State. Rule 46 Amendment of Claims before
the International Bureau

46.1. Time Limit

The time limit referred to in Article 19 shall be two months from the
date of transmittal of the international search report to the
International Bureau and to the applicant by the International Searching
Authority or 16 months from the priority date, whichever time expires
later, provided that any amendment made under Article 19 which is
received by the International Bureau after the expiration of the
applicable time limit shall be considered to have been received by that
Bureau on the last day of that time limit if it reaches it before the
technical preparations for international publication have been
completed.

46.2. Where to file

Amendments made under Article 19 shall be filed directly with the
International Bureau.

46.3. Language of Amendments

If the international application has been filed in a language other than
the language in which it is published, any amendment made under Article
19 shall be in the language of publication.

46.4. Statement

(a) The statement referred to in Article 19(1) shall be in the language
in which the international application is published and shall not exceed
500 words if in the English language or if translated into that
language. The statement shall be identified as such by a heading,
preferably by using the words "Statement under Article 19(1)" or their
equivalent in the language of the statement.

(b) The statement shall contain no disparaging comments on the
international search report or the relevance of citations contained in
that report. Reference to citations, relevant to a given claim,
contained in the international search report may be made only in
connection with an amendment of that claim.

46.5. Form of Amendments

The applicant shall be required to submit a replacement sheet for every
sheet of the claims which, on account of an amendment or amendments
under Article 19, differs from the sheet originally filed. The letter
accompanying the replacement sheets shall draw attention to the
differences between the replaced sheets and the replacement sheets. To
the extent that any amendment results in the cancellation of an entire
sheet, that amendment shall be communicated in a letter.

(b) and (c)   [Deleted]

37 CFR 1.415 The International Bureau.

(a) The International Bureau is the World Intellectual Property
Organization located at Geneva, Switzerland. It is the international
intergovernmental organization which acts as the coordinating body under
the Treaty and the Regulations (PCT Art. 2 (xix) and  35 U.S.C. 351(h)).

(b) The major functions of the International Bureau include:

(1) Publishing of international applications and the International
Gazette;

(2) Transmitting copies of international applications to Designated
Offices;

(3) Storing and maintaining record copies; and

(4) Transmitting information to authorities pertinent to the processing
of specific international applications. Administrative Instructions
Section 205 Numbering and Identification of Claims Upon Amendment

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

(b) The applicant shall, in the letter referred to in the second and
third sentences of Rule 46.5(a) or in the second and fourth sentences of
Rule 66.8(a), indicate the differences between the claims as filed and
the claims as amended. He shall, in particular, indicate in the said
letter, in connection with each claim appearing in the international
application (it being understood that identical indications concerning
several claims may be grouped), whether:

(i) the claim is unchanged;

(ii) the claim is cancelled;

(iii) the claim is new;

(iv) the claim replaces one or more claims as filed;

(v) the claim is the result of the division of a claim as filed.

The applicant has only one opportunity to amend the claims only of the
international application after issuance of the Search Report. The
amendments to the claims must be filed directly with the International
Bureau, usually within 2 months of the date of mailing of the Search
Report. If the amendments to the claims are timely received by the
International Bureau, such amendments will be published as part of the
pamphlet directly following the claims as filed. Article 19 offers
applicants the opportunity to generally amend the claims before entering
the designated Offices. The national laws of some designated Offices may
grant provisional protection on the invention from the date of
publication of the claims. Therefore, some applicants take advantage of
the opportunity under Article 19 to polish the claims anticipating
provisional protection. See PCT Rule 46.5.

---SECTION---1857 International Publication Article 21 International
Publication

(1) The International Bureau shall publish international applications.

(2)(a) Subject to the exceptions provided for in subparagraph (b) and in
Article 64(3), the international publication of the international
application shall be effected promptly after the expiration of 18 months
from the priority date of that application.

(b) The applicant may ask the International Bureau to publish his
international application any time before the expiration of the time
limit referred to in subparagraph (a). The International Bureau shall
proceed accordingly, as provided in the Regulations.

(3) The international search report or the declaration referred to in
Article 17(2)(a) shall be published as prescribed in the Regulations.

(4) The language and form of the international publication and other
details are governed by the Regulations.

(5) There shall be no international publication if the international
application is withdrawn or is considered withdrawn before the technical
preparations for publication have been completed.

(6) If the international application contains expressions or drawings
which, in the opinion of the International Bureau, are contrary to
morality or public order, or if, in its opinion, the international
application contains disparaging statements as defined in the
Regulations, it may omit such expressions, drawings, and statements,
from its publications, indicating the place and number of words or
drawings omitted, and furnishing, upon request, individual copies of the
passages omitted. Article 29 Effects of the International Publication

(1) As far as the protection of any rights of the applicant in a
designated State is concerned, the effects, in that State, of the
international publication of an international application shall, subject
to the provisions of paragraphs (2) to (4), be the same as those which
the national law of the designated State provides for the compulsory
national publication of unexamined national applications as such.

(2) If the language in which the international publication has been
effected is different from the language in which publications under the
national law are effected in the designated State, the said national law
may provide that the effects provided for in paragraph (1) shall be
applicable only from such time as:

(i) a translation into the latter language has been published as
provided by the national law, or

(ii) a translation into the latter language has been made available to
the public, by laying open for public inspection as provided by the
national law, or

(iii) a translation into the latter language has been transmitted by the
applicant to the actual or prospective unauthorized user of the
invention claimed in the international application, or

(iv) both the acts described in (i) and (iii), or both the acts
described in (ii) and (iii), have taken place.

(3) The national law of any designated State may provide that, where the
international publication has been effected, on the request of the
applicant, before the expiration of 18 months from the priority date,
the effects provided for in paragraph (1) shall be applicable only from
the expiration of 18 months from the priority date.

(4) The national law of any designated State may provide that the
effects provided for in paragraph (1) shall be applicable only from the
date on which a copy of the international application as published under
Article 21 has been received in the national Office of or acting for
such State. The said Office shall publish the date of receipt in its
gazette as soon as possible. Administrative Instructions Section 404 
International Publication Number of International Application

The International Bureau shall assign to each published international
application an international publication number which shall be different
from the international application number. The international publication
number shall be used on the pamphlet and in the Gazette entry. It shall
consist of the two-letter code WO followed by a two-digit designation of
the last two numbers of the year of publication, a slant, and a serial
number consisting of five digits (e.g., WO78/12345).

35 U.S.C. 374 Publication of international application: Effect.

The publication under the treaty of an international application shall
confer no rights and shall have no effect under this title other than
that of a printed publication.

The publication of international applications currently occurs every
other Thursday. Under PCT Article 20 the International Bureau sends
copies of published applications to each of the designated Offices on
the day of publication. Until October 1, 1995, as a PCT member country,
the U.S. Patent and Trademark Office received copies of all published
international applications in printed form for inclusion in the examiner
search files.  The U.S. Patent and Trademark Office now receives the
published international applications on CD-ROM disks.  For information
on obtaining copies of these applications, see MPEP Section  901.05(c).

---SECTION---1859 Withdrawal of International Application or
Designations Administrative Instructions Section 326 Withdrawal by
Applicant under Rule 90bis.1, 90bis.2 or 90bis.3

(a) The receiving Office shall promptly transmit to the International
Bureau any notice from the applicant effecting withdrawal of the
international application under Rule 90bis.1, of a designation under
Rule 90bis.2 or of a priority claim under Rule 90bis.3 which has been
filed with it together with an indication of the date of receipt of the
notice.  If the record copy has not yet been sent to the International
Bureau, the receiving Office shall transmit the said notice together
with the record copy.

(b) If the search copy has already been sent to the International
Searching Authority and the international application is withdrawn under
Rule 90bis.1 or a priority claim is withdrawn under Rule 90bis.3, the
receiving Office shall promptly transmit a copy of the notice effecting
withdrawal to the International Searching Authority.

(c) If the search copy has not yet been sent to the International
Searching Authority and the international application is withdrawn under
Rule 90bis.1, the receiving Office shall not send the search copy to the
International Searching Authority and shall, subject to Section 322,
refund the search fee to the applicant unless it has already been
transferred to the International Searching Authority.  If the search fee
has already been transferred to the International Searching Authority,
the receiving Office shall send a copy of the request and of the notice
effecting withdrawal to that Authority.

(d) If the search copy has not yet been sent to the International
Searching Authority and a priority claim is withdrawn under Rule
90bis.3, the receiving Office shall transmit a copy of the notice
effecting withdrawal to the International Searching Authority together
with the search copy. Administrative Instructions Section 414
Notification to the International Preliminary Examining Authority Where
the International Application or the Designations of All Elected States
Are Considered Withdrawn

If a demand has been submitted and the international application or the
designations of all designated States which have been elected are
considered withdrawn under Article 14(1), (3) or (4), the International
Bureau shall promptly notify the International Preliminary Examining
Authority, unless the international preliminary examination report has
already issued.

The applicant may withdraw the international application by a notice
addressed to the International Bureau or to the receiving Office and
received before the expiration of 20 months from the priority date.
Where a Demand for international preliminary examination has been filed
before the expiration of 19 months from the priority date, the
international application may be withdrawn by a notice addressed to the
International Bureau or to the International Preliminary Examining
Authority and received before the expiration of 30 months from the
priority date. Any such withdrawal is free of charge. A notice of
withdrawal must be signed by all the applicants. An appointed agent or
appointed common representative may sign such a notice on behalf of the
applicant or applicants who appointed him, but an applicant who is
considered to be the common representative may not sign such a notice on
behalf of the other applicants. As to the case where an applicant
inventor for the United States of America refuses to sign or cannot be
found or reached see PCT Rule 90bis.5(b).

The applicant may prevent international publication by withdrawing the
international application, provided that the notice of withdrawal
reaches the International Bureau before the completion of technical
preparations for that publication. The notice of withdrawal may state
that the withdrawal is to be effective only on the condition that
international publication can still be prevented. In such a case the
withdrawal is not effective if the condition on which it was made cannot
be met that is, if the technical preparations for international
publication have already been completed. International publication may
be postponed by withdrawing the priority claim.

The applicant may withdraw the designation of any State by a notice
addressed to the International Bureau or to the receiving Office and
received before the expiration of 20 months from the priority date.
Where a Demand for international preliminary examination has been filed
before the expiration of 19 months from the priority date, the
designation of any elected State may be withdrawn by a notice addressed
to the International Preliminary Examining Authority and received before
the expiration of 30 months from the priority date. Any such withdrawal
is free of charge.  A notice of withdrawal must be signed by all the
applicants. An appointed agent or appointed common representative may
sign such a notice on behalf of the applicant or applicants who
appointed him, but an applicant who is considered to be the common
representative may not sign such a notice on behalf of the other
applicants. If all designations are withdrawn, the international
application will be treated as withdrawn.

The applicant may withdraw a priority claim made in the international
application by a notice addressed to the International Bureau or to the
receiving Office and received before the expiration of 20 months from
the priority date. Where a Demand for international preliminary
examination has been filed before the expiration of 19 months from the
priority date, the notice must be received before the expiration of 30
months from the priority date. In the latter case, the notice may also
be addressed to the International Preliminary Examining Authority. Any
or all of the priority claims may be so withdrawn. Any such withdrawal
is free of charge. A notice of withdrawal must be signed by all the
applicants. An appointed agent or appointed common representative may
sign such a notice on behalf of the applicant or applicants who
appointed him, but an applicant who is considered to be the common
representative may not sign such a notice on behalf of the other
applicants.

Where the withdrawal of a priority claim causes a change in the priority
date of the international application, any time limit which is computed
from the original priority date and which has not yet expired-for
example, the time limit before which processing in the national phase
cannot start-is computed from the priority date resulting from the
change. (It is not possible to extend the time limit concerned if it has
already expired when the priority claim is withdrawn.) However, if the
notice of withdrawal reaches the International Bureau after the
completion of the technical preparations for international publication,
the International Bureau may proceed with the international publication
on the basis of the time limit for international publication as computed
from the original priority date.

---SECTION---1860 International Preliminary Examination

EXAMINATION PROCEDURE

The International Preliminary Examination is to be carried out in
accordance with PCT Article 34 and PCT Rule 66. After the Demand is
checked for compliance with PCT Rules 53 - 55, 57 and 58, the first step
of the examiner is to study the description, the drawings (if any), and
the claims of the international application and the documents describing
the prior art as cited in the International Search Report.

A Written Opinion must be prepared if the examiner:

(A) Considers that the international application has any of the defects
described in PCT Article 34(4) concerning subject matter which is not
required to be examined or which is unclear or inadequately supported;

(B) Considers that the report should be negative with respect to any of
the claims because of a lack of novelty, inventive step
(non-obviousness) or industrial applicability as described in PCT
Article 33(2) - (4);

(C) Notices any defects in the form or contents of the international
application;

(D) Considers that any amendment goes beyond the disclosure in the
international application as originally filed;

(E) Wishes to make an observation on the clarity of the claims, the
description, the drawings or to the question whether the claims are
fully supported by the description (PCT Rule 66.2);

(F) Decides not to carry out the international preliminary examination
on a claim for which no International Search Report was issued; or

(G) Considers that no acceptable amino acid sequence listing is
available in a form that would allow a meaningful international
preliminary examination to be carried out.

The Written Opinion is prepared on form PCT/IPEA/408  to notify
applicant of the defects found in the international application. The
examiner is further required to fully state the reasons for his/her
opinion (PCT Rule 66.2(b)) and invite a written reply, with amendments
where appropriate (PCT Rule 66.2(c)), normally setting a 2 month time
limit for the reply.

The applicant may reply to the invitation by making amendments or, if
applicant disagrees with the opinion of the examiner, by submitting
arguments, as the case may be, or both.

The U.S. Rules of Practice pertaining to international preliminary
examination of international applications permit a second Written
Opinion in those cases where sufficient time is available. Normally only
one Written Opinion will be issued. Any reply received after the
expiration of the set time limit will not normally be considered in
preparing the International Preliminary Examination Report. In
situations, however, where the examiner has requested an amendment or
where a later amendment places the application in better condition for
examination, the amendment may be considered by the examiner.

If the applicant does not reply to the Written Opinion within the set
time period, the International Preliminary Examination Report will be
prepared after expiration of the time limit plus sufficient time to have
any reply clear the Mail Center.

If, after initial examination of the international application, there is
no negative statement or comment to be made, then only the International
Preliminary Examination Report will issue without a Written Opinion
having been issued.

---SECTION---1861 Chapter II Basic Flow

[GRAPHIC]

---SECTION---1862 Agreement with the International Bureau To Serve as an
International Preliminary Examination Authority Article 32 The
International Preliminary Examining Authority

(1) International preliminary examination shall be carried out by the
International Preliminary Examining Authority.

(2) In the case of demands referred to in Article 31(2)(a), the
receiving Office, and, in the case of demands referred to in Article
31(2)(b), the Assembly, shall, in accordance with the applicable
agreement between the interested International Preliminary Examining
Authority or Authorities and the International Bureau, specify the
International Preliminary Examining Authority or Authorities competent
for the preliminary examination.

(3) The provisions of Article 16(3) shall apply, mutatis mutandis, in
respect of the International Preliminary Examining Authorities. Article
34  Procedure before the International Preliminary Examining Authority

(1) Procedure before the International Preliminary Examining Authority
shall be governed by the provisions of this Treaty, the Regulations, and
the agreement which the International Bureau shall conclude, subject to
this Treaty and the Regulations, with the said Authority.

                  +++    

37 CFR 1.416 The United States International Preliminary Examining
Authority.

(a) Pursuant to appointment by the Assembly, the United States Patent
and Trademark Office will act as an International Preliminary Examining
Authority for international applications filed in the United States
Receiving Office and in other Receiving Offices as may be agreed upon by
the Commissioner, in accordance with agreement between the Patent and
Trademark Office and the International Bureau.

(b) The United States Patent and Trademark Office, when acting as an
International Preliminary Examining Authority, will be identified by the
full title "United States International Preliminary Examining Authority"
or by the abbreviation "IPEA/US."

(c) The major functions of the International Preliminary Examining
Authority include:

(1) Receiving and checking for defects in the Demand;

(2) Forwarding Demands in accordance with PCT Rule 59.3;

(3) Collecting the handling fee for the International Bureau and the
preliminary examination fee for the United States International
Preliminary Examining Authority;

(4) Informing applicant of receipt of the Demand;

(5) Considering the matter of unity of invention;

(6) Providing an international preliminary examination report which is a
nonbinding opinion on the questions whether the claimed invention
appears to be novel, to involve inventive step (to be nonobvious), and
to be industrially applicable; and

(7) Transmitting the international preliminary examination report to
applicant and the International Bureau.

An agreement was concluded between the United States Patent and
Trademark Office (USPTO) and the International Bureau under which the
USPTO agreed to serve as an International Preliminary Examining
Authority for those applications filed in the USPTO as a Receiving
Office and for those international applications filed in other receiving
Offices for which the USPTO has served as an International Searching
Authority.

The agreement is provided for in PCT Articles 32(2) & (3) and 34(1), and
in PCT Rules 59.1, 63.1, 72.1, and 77.1(a). Authority is given in  35
U.S.C. 361(c), 362(a) & (b) and in 364(a). 37 CFR 1.416(a) and PCT
Administrative Instructions Section 103(c) are also relevant.

---SECTION---1864 The Demand and Preparation for Filing of Demand

37 CFR 1.480 Demand for international preliminary examination.

(a) On the filing of a proper Demand in an application for which the
United States International Preliminary Examining Authority is competent
and for which the fees have been paid, the international application
shall be the subject of an international preliminary examination. The
preliminary examination fee (Section 1.482(a)(1)) and the handling fee
(Section 1.482(b)) shall be due at the time of filing of the Demand.

(b) The Demand shall be made on a standardized form. Copies of printed
Demand forms are available from the Patent and Trademark Office. Letters
requesting printed Demand forms should be marked Box PCT .

(c) If the Demand is made prior to the expiration of the 19th month from
the priority date and the United States of America is elected, the
provisions of Section 1.495 shall apply rather than Section 1.494.

(d) Withdrawal of a proper Demand prior to the start of the
international preliminary examination will entitle applicant to a refund
of the preliminary examination fee minus the amount of the transmittal
fee set forth in Section 1.445(a)(1).

Once applicant has requested the filing of an international application
under Chapter I which affords applicants the benefit of an international
search, applicant has the right to file a Demand for preliminary
examination. The use of the term "Demand" distinguishes Chapter II from
the "Request" under Chapter I. Applicants who timely and properly file a
Demand for preliminary examination are able to defer or delay the time
for entry into the national stage from 20 months (under Chapter I) to 30
months from the earliest priority date. It is not possible to file a
Demand unless a proper Chapter I "Request" for an international
application has been filed.

The Demand should be filed on PCT Form PCT/IPEA/401 along with the fee
transmittal sheet. For information on obtaining these forms free of
charge, see MPEP Section  1730.

---SECTION---1864.01 Amendments Filed with Demand Rule 66 Procedure
before the International Preliminary Examining Authority

                  +++    

66.8. Form of Amendments

(a) Subject to paragraph (b), the applicant shall be required to submit
a replacement sheet for every sheet of the international application
which, on account of an amendment, differs from the sheet previously
filed. The letter accompanying the replacement sheets shall draw
attention to the differences between the replaced sheets and the
replacement sheets and shall preferably also explain the reasons for the
amendment.

(b) Where the amendment consists in the deletion of passages or in minor
alterations or additions, the replacement sheet referred to in paragraph
(a) may be a copy of the relevant sheet of the international application
containing the alterations or additions, provided that the clarity and
direct reproducibility of that sheet are not adversely affected. To the
extent that any amendment results in the cancellation of an entire
sheet, that amendment shall be communicated in a letter which shall
preferably also explain the reasons for the amendment.

                  +++    

37 CFR 1.485 Amendments by applicant during international preliminary
examination.

(a) The applicant may make amendments at the time of filing of the
Demand.  The applicant may also make amendments within the time limit
set by the International Preliminary Examining Authority for reply to
any notification under Section  1.484(b) or to any written opinion.  Any
such amendments must:

(1) Be made by submitting a replacement sheet in compliance with PCT
Rules 10 and 11.1 to 11.13 for every sheet of the application which
differs from the sheet it replaces unless an entire sheet is cancelled;
and

(2) Include a description of how the replacement sheet differs from the
replaced sheet.  Amendments that do not comply with PCT Rules 10 and
11.1 to 11.13 may not be entered.

(b) If an amendment cancels an entire sheet of the international
application, that amendment shall be communicated in a letter.

Amendments may be filed with the Demand (PCT Article 34) if desired to
place the application claims in better condition for international
preliminary examination. Such amendments, however, may not include new
matter and must be accompanied by a description of how the replacement
sheet differs from the replaced sheet.

Amendments filed after the Demand cannot be assured of consideration
since the examiner will be taking up the application to draft the
written opinion rather promptly because of the short examination period.

---SECTION---1864.02 Applicant's Right to File a Demand Article 31
Demand for International Preliminary Examination

                  +++    

(2)(a) Any applicant who is a resident or national, as defined in the
Regulations, of a Contracting State bound by Chapter II, and whose
international application has been filed with the receiving Office of or
acting for such State, may make a demand for international preliminary
examination.

                  +++      Rule 54 The Applicant Entitled to Make a
Demand

54.1. Residence and Nationality

The residence or nationality of the applicant shall, for the purposes of
Article 31(2), be determined according to Rules 18.1 and 18.2.

54.2. Right to Make a Demand

The right to make a demand under Article 31(2) shall exist if the
applicant making the demand or, if there are two or more applicants, at
least one of them is a resident or national of a Contracting State bound
by Chapter II and the international application has been filed with a
receiving Office of or acting for a Contracting State bound by Chapter
II.

(i) [Deleted]

(ii) [Deleted]

54.3. [Deleted]

54.4. Applicant Not Entitled to Make a Demand

If the applicant does not have the right to make a demand or, in the
case of two or more applicants, if none of them has the right to make a
demand under Rule 54.2, the demand shall be considered not to have been
submitted.

(b) [Deleted]

If there is a sole applicant, he must be a resident or national of a
Contracting State bound by Chapter II of the PCT. If there are two or
more applicants, it is sufficient that one of them be a resident or
national of a Contracting State bound by Chapter II, regardless of the
elected State(s) for which each applicant is indicated. Only applicants
for the elected States are required to be indicated in the Demand. The
detailed requirements for the various indications required in connection
with each applicant (name and address, telephone number, facsimile
machine number or teleprinter address, nationality and residence) are
the same as those required under PCT Rule 4 in connection with the
Request.  Note that any inventor who is not also an applicant is not
indicated in the Demand.

If the recording of a change in the name or person has been requested
under PCT Rule 92bis.1 before the Demand was filed, it is the
applicant(s) of record at the time when the Demand is filed who must be
indicated in the Demand.

---SECTION---1864.03 States Which May Be Elected Article 31 Demand for
International Preliminary Examination

                  +++    

(4)(a) The demand shall indicate the Contracting State or States in
which the applicant intends to use the results of the international
preliminary examination ("elected States"). Additional Contracting
States may be elected later. Election may relate only to Contracting
States already designated under Article 4.

(b) Applicants referred to in paragraph (2)(a) may elect any Contracting
State bound by Chapter II. Applicants referred to in paragraph (2)(b)
may elect only such Contracting States bound by Chapter II as have
declared that they are prepared to be elected by such applicants.

                  +++    

Only PCT member states which have ratified or acceded to Chapter II and
which were designated in the Request may be elected under Chapter II.
The Assembly has taken no action to allow persons who are residents or
nationals of a State not party to the PCT or not bound by Chapter II to
make a Demand under Article 31(2)(b).

---SECTION---1864.04 Agent's Right to Act

Any agent entitled to practice before the receiving Office where the
international application was filed may represent the applicant before
the international authorities (PCT Article 49).

If for any reason, the examiner needs to question the right of an
attorney or agent to practice before the International Preliminary
Examining Authority, the USPTO roster of registered attorneys and agents
should be consulted.  If the international application was filed with a
receiving Office other than the United States, Form PCT/IPEA/410 may be
used by the requesting IPEA to ask the receiving Office with which the
international application was filed, whether the agent named in the
international application has the right to practice before that Office.

The PCT Article and Regulations governing the right to practice are PCT
Article 49 and PCT Rule 83.

---SECTION---1865 Filing of Demand Article 31 Demand for International
Preliminary Examination

(1) On the demand of the applicant, his international application shall
be the subject of an international preliminary examination as provided
in the following provisions and the Regulations.

                  +++    

(3) The demand for international preliminary examination shall be made
separately from the international application. The demand shall contain
the prescribed particulars and shall be in the prescribed language and
form.

                  +++    

(6)(a) The demand shall be submitted to the competent International
Preliminary Examining Authority referred to in Article 32.

                  +++    

Applicants should mail the Demand and appropriate fees directly to the
International Preliminary Examining Authority they desire to prepare the
International Preliminary Examination Report. U.S. applicants who have
had the international search prepared by the European Patent Office may
also request the European Patent Office to act as the International
Preliminary Examining Authority.

Demands filed in the European Patent Office should be addressed to:

European Patent Office

Erhardstrasse 27

D-80331 Munich

Federal Republic of Germany.

Demands directed to the United States Patent and Trademark Office should
be addressed to:

Assistant Commissioner for Patents

Box PCT

Washington, D.C. 20231.

The "Express Mail" provisions of  37 CFR 1.10 may be used to file a
Demand under Chapter II in the USPTO.  Applicants are advised that
failure to comply with the provisions of  37 CFR 1.10 will result in the
paper or fee being accorded the date of receipt and not the date of
deposit.  See MPEP Section  513.

Demand for international preliminary examination may be submitted to the
USPTO via facsimile. The Certificate of Mailing or Transmission practice
under  37 CFR 1.8 CANNOT be used to file a Demand if the date of deposit
is desired. If used, the date of the Demand will be the date of receipt
in the USPTO. See MPEP Section  513,  Section  1834, and Section 
1834.01.

All Demands filed in the USPTO must be in the English language.

PCT Rule 59.3 was amended July 1, 1998 to provide a safeguard in the
case of a Demand filed with the USPTO which is not competent as the
International Preliminary Examining Authority.  The USPTO may forward
the Demand to the International Bureau and the International Bureau will
forward the Demand to a competent International Preliminary Examining
Authority pursuant to PCT Rule 59.3(c).  The competent International
Preliminary Examining Authority will process the Demand based on the
date of receipt in the USPTO.  See Interim rule  37 CFR 1.416(c)(2).

CHOICE OF EXAMINING AUTHORITY

U.S. residents and nationals may choose to have the International
Preliminary Examination done either by the IPEA/EP or the IPEA/US. The
IPEA/EP has agreed that it would act as International Preliminary
Examining Authority for any Chapter II case in which it served as the
ISA. The IPEA/US will serve as International Preliminary Examining
Authority for U.S. residents and nationals if the U.S. or EPO served as
ISA.

The IPEA/US will also serve as International Preliminary Examining
Authority for residents or nationals of Mexico, Trinidad and Tobago,
Brazil, Barbados, Israel, and New Zealand if the U.S. was the
International Searching Authority.

Form PCT/IPEA/401[GRAPHIC]

[GRAPHIC]

[GRAPHIC]

[GRAPHIC]

---SECTION---1866 Filling in of Headings on Chapter II Forms

The examiner will encounter several different forms for use in the
Chapter II preliminary examination phase and most of the forms will have
the same "header" information to be provided.

The notes below list the common identifying information requested on the
top of the first page of most of the forms:

Applicant's mailing address - this is usually the attorney's address
taken from the file wrapper.

Applicant's or Agent's File Reference - this is the applicant's or
agent's application reference (or docket number) which is composed of
either letters or numbers, or both, provided this reference does not
exceed twelve characters. This reference may be found in the upper right
hand box on the first sheet of the Demand, Form PCT/IPEA/401. See
Administrative Instructions Section 109.

International Application Number - this is the 14 digit PCT application
number as stamped and typed on the international application file
wrapper and may also be found on the first page of the Demand, Form
PCT/IPEA/401.

International Filing Date - this is the filing date printed on the
international application file wrapper and may also be found on the
first page of the Demand, Form PCT/IPEA/401.

Applicant (Name) - the first named applicant as set forth on the
international application file wrapper and may also be found in box II
of the Demand, Form PCT/IPEA/401.

---SECTION---1867 Preliminary Examination Fees 

37 CFR 1.481 Payment of international preliminary examination fees.

(a) The handling and preliminary examination fees shall be paid within
the time period set in PCT Rule 57.3. The handling fee or preliminary
examination fee payable is the handling fee or preliminary examination
fee in effect on the date of receipt of the Demand except under PCT Rule
59.3(a) where the fee payable is the fee in effect on the date of
arrival of the Demand at the United States International Preliminary
Examining Authority.

(1) If the handling and preliminary fees are not paid within the time
period set in PCT Rule 57.3, applicant will be notified and given one
month within which to pay the deficient fees plus a late payment fee
equal to the greater of:

(i) Fifty percent of the amount of the deficient fees, but not exceeding
an amount equal to double the handling fee; or

(ii) An amount equal to the handling fee (PCT Rule 58bis.2).

(2) The one-month time limit set in this paragraph to pay deficient fees
may not be extended.

(b) If the payment needed to cover the handling and preliminary
examination fees, pursuant to paragraph (a) of this section, is not
timely made in accordance with PCT Rule 58bis.1(d), the United States
International Preliminary Examination Authority will declare the Demand
to be considered as if it had not been submitted.

The preliminary examination fee is for the benefit of the International
Preliminary Examining Authority and the amount for the U.S. doing the
preliminary examination is specified in  37 CFR 1.482. The fee is
somewhat higher if the international search was performed by an
authority other than the USPTO.

The handling fee is a fee for the benefit of the International Bureau
and is collected by the International Preliminary Examining Authority.
The amount of the handling fee is set out in the PCT schedule of fees
which is annexed to the PCT Regulations.

The current amount of both the preliminary examination fee and the
handling fee can be found in each weekly issue of the Official Gazette.
Since supplements to the handling fee were deleted, no additional
Chapter II fees are required other than any additional preliminary
examination fee where additional inventions are determined to be
present. The amount of this fee is also specified in  37 CFR 1.482 and
in the weekly issues of the Official Gazette. See also PCT Rules 57 and
58.

The time limit for paying the preliminary examination fee and the
handling fee is set forth in PCT Rules 57.3 and 58.1(b).  Interim rule 
37 CFR 1.481(a) provides that the preliminary examination fee or
handling fee payable is the preliminary examination fee or handling fee
in effect on the date of receipt of the Demand in the United States
International Preliminary Examining Authority.  Effective July 1, 1998,
PCT Rule 58bis.1(c) was added to consider the preliminary examination
fee and handling fee to have been received before the expiration of the
time limit set in PCT Rule 57.3 if the fees were submitted prior to the
sending of an invitation to pay the fees.

Effective July 1, 1998, PCT Rule 58bis.1(a) was added to permit the
International Preliminary Examining Authority to collect a late payment
fee set forth in PCT Rule 58bis.2 if the fees for preliminary
examination are not paid prior to the sending of the invitation to pay
the fees.  If the preliminary examination fee and handling fee are not
paid within the time set in PCT Rule 57.3, applicants will be notified
and given 1 month within which to pay the deficient fees plus a late
payment fee equal to the greater of : (1) 50% of the amount of the
deficient fees, but not exceeding an amount equal to double the handling
fee; or (2) an amount equal to the handling fee.  See Interim rule  37
CFR 1.481(a)(1)(i) and (ii).  The 1 month time limit set forth in
Interim rule  37 CFR 1.481(a)(1) to pay deficient fees may not be
extended.  See Interim rule  37 CFR 1.481(a)(2)

If the payment needed to cover the preliminary examination fee and
handling fee is not timely made in accordance with PCT Rule 58bis.1(d),
the United States International Preliminary Examining Authority will
declare the Demand to be considered as if it had not been submitted.  In
this regard, where the Authority sends a notification that the Demand is
considered not to have been made and applicant's payment is received,
both on that same date, the fee is considered to be late and the
notification remains effective.  The fee must antedate the notice in
order for the notice not to be effective.  See Interim rule  37 CFR
1.481(b).

---SECTION---1868 Correction of Defects in the Demand Rule 60 Certain
Defects in the Demand or Elections

60.1. Defects in the Demand

(a) If the demand does not comply with the requirements specified in
Rules 53.1, 53.2(a)(i) to (iv), 53.2(b), 53.3 to 53.8 and 55.1, the
International Preliminary Examining Authority shall invite the applicant
to correct the defects within a time limit which shall be reasonable
under the circumstances.  That time limit shall not be less than one
month from the date of the invitation. It may be extended by the
International Preliminary Examining Authority at any time before a
decision is taken.

(b) If the applicant complies with the invitation within the time limit
under paragraph (a), the demand shall be considered as if it had been
received on the actual filing date, provided that the demand as
submitted contained at least one election and permitted the
international application to be identified;  otherwise, the demand shall
be considered as if it had been received on the date on which the
International Preliminary Examining Authority receives the correction.

(c) Subject to paragraph (d), if the applicant does not comply with the
invitation within the time limit under paragraph (a), the demand shall
be considered as if it had not been submitted and the International
Preliminary Examining Authority shall so declare.

(d) Where, after the expiration of the time limit under paragraph (a), a
signature required under Rule 53.8 or a prescribed indication is lacking
in respect of an applicant for a certain elected State, the election of
that State shall be considered as if it had not been made.

(e) If the defect is noticed by the International Bureau, it shall bring
the defect to the attention of the International Preliminary Examining
Authority, which shall then proceed as provided in paragraphs (a) to
(d).

(f) If the demand does not contain a statement concerning amendments,
the International Preliminary Examining Authority shall proceed as
provided for in Rules 66.1 and 69.1(a) or (b).

(g) Where the statement concerning amendments contains an indication
that amendments under Article 34 are submitted with the demand (Rule
53.9(c)) but no such amendments are, in fact, submitted, the
International Preliminary Examining Authority shall invite the applicant
to submit the amendments within a time limit fixed in the invitation and
shall proceed as provided for in Rule 69.1(e).

60.2. Defects in Later Elections

(a) If the notice effecting a later election does not comply with the
requirements of Rule 56, the International Bureau shall invite the
applicant to correct the defects within a time limit which shall be
reasonable under the circumstances. That time limit shall not be less
than one month from the date of the invitation.  It may be extended by
the International Bureau at any time before a decision is taken.

(b) If the applicant complies with the invitation within the time limit
under paragraph (a), the notice shall be considered as if it had been
received on the actual filing date, provided that the notice as
submitted contained at least one election and permitted the
international application to be identified;  otherwise, the notice shall
be considered as if it had been received on the date on which the
International Bureau receives the correction.

(c) Subject to paragraph (d), if the applicant does not comply with the
invitation within the time limit under paragraph (a), the notice shall
be considered as if it had not been submitted and the International
Preliminary Examining Authority shall so declare.

(d) Where, in respect of an applicant for a certain elected State, the
signature required under Rule 56.1(b) and (c) or the name or address is
lacking after the expiration of the time limit under paragraph (a), the
later election of that State shall be considered as if it had not been
made.

Defects in the Demand may be corrected. The type of correction
determines whether the filing date of the Demand must be changed. The
most common defects which result in the mailing of an invitation to
correct are found in PCT Rules 53, 55 and 57.4.  If the applicant
complies with the invitation, the Demand is considered as if it had been
received on the actual filing date, i.e., the original date of receipt.
See PCT Rule 60.1(b).

---SECTION---1869 Notification to International Bureau of Demand Article
31 Demand for International Preliminary Examination

                  +++    

(7) Each elected Office shall be notified of its election.

The International Preliminary Examining Authority, pursuant to PCT Rule
61, promptly notifies the International Bureau and the applicant of the
filing of any Demand. The International Bureau in turn notifies each
elected Office of their election and also notifies the applicant that
such notification has been made.

---SECTION---1870 Priority Document and Translation Thereof Rule 66
Procedure before the International Preliminary Examining Authority

                  +++    

66.7. Priority Document

(a) If the International Preliminary Examining Authority needs a copy of
the application whose priority is claimed in the international
application, the International Bureau shall, on request, promptly
furnish such copy. If that copy is not furnished to the International
Preliminary Examining Authority because the applicant failed to comply
with the requirements of Rule 17.1, the international preliminary
examination report may be established as if the priority had not been
claimed.

(b) If the application whose priority is claimed in the international
application is in a language other than the language or one of the
languages of the International Preliminary Examining Authority, that
Authority may invite the applicant to furnish a translation in the said
language or one of the said languages within two months from the date of
the invitation. If the translation is not furnished within that time
limit, the international preliminary examination report may be
established as if the priority had not been claimed.

                  +++    

A copy of the priority document may be required by the examiner if
necessary because of an intervening reference, and a translation
thereof, if the priority document is not in English.

---SECTION---1871 Processing Amendments Filed Under Article 19 and
Article 34 Prior to or at the Start of International Preliminary
Examination Rule 62 Copy of Amendments under Article 19 for the
International Preliminary Examining Authority

62.1. Amendments Made before the Demand is Filed

Upon receipt of a demand, or a copy thereof,  from the International
Preliminary Examining Authority, the International Bureau shall promptly
transmit a copy of any amendments under Article 19, and any statement
referred to in that Article, to that Authority, unless that Authority
has indicated that it has already received such a copy.

62.2. Amendments Made after the Demand is Filed

If, at the time of filing any amendments under Article 19, a demand has
already been submitted, the applicant shall preferably, at the same time
as he files the amendments with the International Bureau, also file with
the International Preliminary Examining Authority a copy of such
amendments and any statement referred to in that article. In any case,
the International Bureau shall promptly transmit a copy of such
amendments and statement to that Authority.

(b) [Deleted]

The documents making up the international application may include
amendments of the claims filed by the applicant under PCT Article 19. 
PCT Article 19 amendments are exclusively amendments to the claims and
these amendments can only be made after the search report has been
established. PCT Article 19 amendments will be transmitted to the
International Preliminary Examining Authority by the International
Bureau. If a Demand for international preliminary examination has
already been submitted, the applicant should preferably, at the time he
files the PCT Article 19 amendments, also file a copy of the amendments
with the International Preliminary Examining Authority. In the event
that the time limit for filing amendments under PCT Article 19, as
provided in PCT Rule 46.1, has not expired and the Demand includes a
statement that the start of the international preliminary examination is
to be postponed under PCT Rule 53.9(b), the international preliminary
examination should not start before the examiner receives a copy of any
amendments made under PCT Article 19 or a notice from the applicant that
he does not wish to make amendments under PCT Article 19, or before the
expiration of 20 months from the priority date, whichever occurs first.

The applicant has the right to amend the claims, the description, and
the drawings, in the prescribed manner and before the start of
international preliminary examination. The amendment must not go beyond
the disclosure in the international application as filed. These
amendments are referred to as PCT Article 34(2)(b) amendments. It should
be noted that PCT Article 19 amendments are strictly amendments to the
claims made during the Chapter I search phase while PCT Article 34(2)(b)
amendments to the description, claims, and drawings are made during the
Chapter II examination phase.

When amendments to the description, claims, or drawings are made under
PCT Rule 66.8, they may be accompanied by an explanation.  These
amendments may have been submitted to avoid possible objections as to
lack of novelty or lack of inventive step in view of the citations
listed in the international search report; to meet any objections noted
by the International Searching Authority under PCT Article 17(2)(a)(ii)
(i.e., that all or at least some claims do not permit a meaningful
search) or under PCT Rule 13 (i.e., that there is a lack of unity of
invention); or to meet objections that may be raised for some other
reason, e.g., to remedy some obscurity which the applicant
himself/herself has noted in the original documents.

The amendments are made by the applicant of his/her own volition. This
means that the applicant is not restricted to amendments necessary to
remedy a defect in his/her international application. It does not,
however, mean that the applicant should be regarded as free to amend in
any way he/she chooses. Any amendment must not add subject matter which
goes beyond the disclosure of the international application as
originally filed. Furthermore, it should not itself cause the
international application as amended to be objectionable under the PCT,
e.g., the amendment should not introduce obscurity.

As a matter of policy and to ensure consistency in handling amendments
filed under PCT Articles 19 and 34 of the PCT, the following guidelines
for processing these amendments have been established:

(A) Any amendment which complies with  37 CFR 1.485(a) will be
considered;

(B) Amendments filed after the Demand

(1) will be considered if filed before the application is docketed to
the examiner,

(2) may be considered if filed after docketing. The examiner has
discretion to consider such amendments if the examiner determines that
the amendment places the application in better condition for examination
or the examiner determines that the amendment should otherwise be
entered;

(C) Amendments filed after expiration of the period for response to the
written opinion

(1) will be considered if the amendment was requested by the examiner,

(2) may be considered if the examiner determines that the amendment
places the application in better condition for examination or the
examiner determines that the amendment should otherwise be entered.

It is expected, due to the relatively short time period for completion
of preliminary examination, that the Chapter II application will be
taken up for preparation of the written opinion promptly after docketing
to the examiner and taken up for preparation of the final report
promptly after the time expires for response to the written opinion
(i.e., after allowing for mail processing). The examiner is not obliged
to consider amendments or arguments which are filed after he/she has
taken up the case for preparation of the written opinion or the final
report.

Amendments timely filed but misdirected or are otherwise late reaching
the examiner will be considered as in the case of regular domestic
applications and may require a supplemental written opinion and/or final
report.

Clearly, these guidelines offer the examiner flexibility. The examiner
should be guided by the overriding principle that the final report (the
PCT/IPEA/409) should be established with as few written opinions as
possible and resolution of as many issues as possible consistent with
the goal of a timely and quality report.

See also Administrative Instructions Section 602 regarding processing of
amendments by the International Preliminary Examining Authority.

---SECTION---1872 Transmittal of Demand to the Examining Corps
Administrative Instructions Section 605 File to be used for
International Preliminary Examination

Where the International Preliminary Examining Authority is part of the
same national Office or intergovernmental organization as the
International Searching Authority, the same file shall serve the
purposes of international search and international preliminary
examination.

When the PCT International Application Processing Division has finished
processing of the papers and fees filed with a complete Demand, a copy
of the Demand and other papers are forwarded to the appropriate
examining group for examination. The documents will be placed in the
Search Copy file wrapper when forwarded to the examining corps.

---SECTION---1873 Later Election of States Article 31 Demand for
International Preliminary Examination

                  +++    

(6)(b) Any later election shall be submitted to the International
Bureau.

                  +++      Rule 56 Later Elections

56.1. Elections Submitted Later Than the Demand

(a) The election of States subsequent to the submission of the demand
("later election") shall be effected by a notice submitted to the
International Bureau. The notice shall identify the international
application and the demand, and shall include an indication as referred
to in Rule 53.7(b)(ii).

(b) Subject to paragraph (c), the notice referred to in paragraph (a)
shall be signed by the applicant for the elected States concerned or, if
there is more than one applicant for those States, by all of them.

(c) Where two or more applicants file a notice effecting a later
election of a State whose national law requires that national
applications be filed by the inventor and where an applicant for that
elected State who is an inventor refused to sign the notice or could not
be found or reached after diligent effort, the notice need not be signed
by that applicant ("the applicant concerned") if it is signed by at
least one applicant and

(i) a statement is furnished explaining, to the satisfaction of the
International Bureau, the lack of signature of the applicant concerned,
or

(ii) the applicant concerned did not sign the request but the
requirements of Rule 4.15(b) were complied with, or did not sign the
demand but the requirements of Rule 53.8(b) were complied with.

(d) An applicant for a State elected by a later election need not have
been indicated as an applicant in the demand.

(e) If a notice effecting a later election is submitted after the
expiration of 19 months from the priority date, the International Bureau
shall notify the applicant that the election does not have the effect
provided for under Article 39(1)(a) and that the acts referred to in
Article 22 must be performed in respect of the elected Office concerned
within the time limit applicable under Article 22.

(f) If, notwithstanding paragraph (a), a notice effecting a later
election is submitted by the applicant to the International Preliminary
Examining Authority rather than the International Bureau, that Authority
shall mark the date of receipt on the notice and transmit it promptly to
the International Bureau.  The notice shall be considered to have been
submitted to the International Bureau on the date marked.

56.2. Identification of the International Application

The international application shall be identified as provided in Rule
53.6.

56.3. Identification of the Demand

The demand shall be identified by the date on which it was submitted and
by the name of the International Preliminary Examining Authority to
which it was submitted.

56.4. Form of Later Elections

The notice effecting the later election shall preferably be worded as
follows: "In relation to the international application filed with ... on
... under No. ... by ...(applicant) (and the demand for international
preliminary examination submitted on ... to ...), the undersigned elects
the following additional State(s) under Article 31 of the Patent
Cooperation Treaty: ..."

56.5. Language of Later Elections

The later election shall be in the language of the demand.

Applicants may, after filing of the Demand, later, but still within 19
months of the priority date, elect additional States which have been
previously designated and obtain the benefit of delaying the national
stage until 30 months after the priority date in the additional elected
States.  All such later elections must be filed directly with the
International Bureau and not the International Preliminary Examining
Authority. Elections received after 19 months will not delay the time
for entry into the national stage from 20 to 30 months.

---SECTION---1874 Determination if International Preliminary Examination
Is Required and Possible Article 34  Procedure before the International
Preliminary Examining Authority

                  +++    

(4)(a) If the International Preliminary Examining Authority considers

(i) that the international application relates to a subject matter on
which the International Preliminary Examining Authority is not required,
under the Regulations, to carry out an international preliminary
examination, and in the particular case decides not to carry out such
examination, or

(ii) that the description, the claims, or the drawings, are so unclear,
or the claims are so inadequately supported by the description, that no
meaningful opinion can be formed on the novelty, inventive step
(non-obviousness), or industrial applicability, of the claimed
invention, the said authority shall not go into the questions referred
to in Article 33(1) and shall inform the applicant of this opinion and
the reasons therefor.

(b) If any of the situations referred to in subparagraph (a) is found to
exist in, or in connection with, certain claims only, the provisions of
that subparagraph shall apply only to the said claims.

There are instances where international preliminary examination is not
required because of the nature of the subject matter claimed and also
because the claims are so indefinite that no examination is possible.
Such instances should seldom occur, especially since most problems of
this nature would have already been discovered and indicated at the time
of the international search.

If it is found that certain claims of an international application
relate to subject matter for which no international preliminary
examination is required, on Form PCT/IPEA/408, check the appropriate
box. It should be noted that subject matter which is normally examined
under U.S. national procedure should also be examined as an
International Preliminary Examining Authority.

The examiner should check the appropriate box if it is found that the
description, claims or drawings are so unclear, or the claims are so
inadequately supported by the description that no opinion could be
formed as to the novelty, inventive step (nonobviousness) and industrial
applicability of the claimed invention.

Subject matter not searched under Chapter I will not be the subject of a
preliminary examination under Chapter II. This is so even if claims
which were not searched under Chapter I are modified to be acceptable
for examination.

---SECTION---1875 Unity of Invention Before the International
Preliminary Examining Authority Article 34 Procedure before the
International Preliminary Examining Authority

                  +++    

(3)(a) If the International Preliminary Examining Authority considers
that the international application does not comply with the requirement
of unity of invention as set forth in the Regulations, it may invite the
applicant, at his option, to restrict the claims so as to comply with
the requirement or to pay additional fees.

                  +++    

(c) If the applicant does not comply with the invitation referred to in
subparagraph (a) within the prescribed time limit, the International
Preliminary Examining Authority shall establish an international
preliminary examination report on those parts of the international
application which relate to what appears to be the main invention and
shall indicate the relevant facts in the said report. The national law
of any elected State may provide that, where its national Office finds
the invitation of the International Preliminary Examining Authority
justified, those parts of the international application which do not
relate to the main invention shall, as far as effects in that State are
concerned, be considered withdrawn unless a special fee is paid by the
applicant to that Office.

                  +++    

37 CFR 1.488 Determination of unity of invention before the
International Preliminary Examining Authority.

(a) Before establishing any written opinion or the international
preliminary examination report, the International Preliminary Examining
Authority will determine whether the international application complies
with the requirement of unity of invention as set forth in Section 
1.475.

(b) If the International Preliminary Examining Authority considers that
the international application does not comply with the requirement of
unity of invention, it may:

(1) Issue a written opinion and/or an international preliminary
examination report, in respect of the entire international application
and indicate that unity of invention is lacking and specify the reasons
therefor without extending an invitation to restrict or pay additional
fees. No international preliminary examination will be conducted on
inventions not previously searched by an International Searching
Authority.

(2) Invite the applicant to restrict the claims or pay additional fees,
pointing out the categories of the invention found, within a set time
limit which will not be extended. No international preliminary
examination will be conducted on inventions not previously searched by
an International Searching Authority, or

(3) If applicant fails to restrict the claims or pay additional fees
within the time limit set for reply, the International Preliminary
Examining Authority will issue a written opinion and/or establish an
international preliminary examination report on the main invention and
shall indicate the relevant facts in the said report. In case of any
doubt as to which invention is the main invention, the invention first
mentioned in the claims and previously searched by an International
Searching Authority shall be considered the main invention.

(c) Lack of unity of invention may be directly evident before
considering the claims in relation to any prior art, or after taking the
prior art into consideration, as where a document discovered during the
search shows the invention claimed in a generic or linking claim lacks
novelty or is clearly obvious, leaving two or more claims joined thereby
without a common inventive concept. In such a case the International
Preliminary Examining Authority may raise the objection of lack of unity
of invention.

The examiner will usually begin the preliminary examination by checking
the international application for unity of invention. The international
preliminary examination will only be directed to inventions which have
been searched by the International Searching Authority.  All claims
directed to inventions which have not been searched by the International
Searching Authority will not be considered by the International
Preliminary Examining Authority. If the examiner in the International
Preliminary Examining Authority finds lack of unity of invention in the
claims to be examined, an invitation is normally prepared and sent to
the applicant requesting the payment of additional fees or the
restriction of the claims on Form PCT/IPEA/405. Such an invitation will
include the identification of what the examiner considers to be the
"main invention" which will be examined if no additional fees are paid
or restriction is made by the applicant.

The procedure before the International Preliminary Examining Authority
regarding lack of unity of invention is governed by PCT Article 34(3)(a)
through (c), PCT Rule 68 (see also PCT Rule 70.13), and  37 CFR 1.475
and 1.488.  It should be noted that in most instances lack of unity of
invention will have been noted and reported upon by the International
Searching Authority which will have drawn up an International Search
Report based on those parts of the international application relating to
the invention, or unified linked group of inventions, first mentioned in
the claims ("main invention").  If the applicant has paid additional
search fees, additional inventions would also have been searched.  No
international preliminary examination will be conducted on inventions
not previously searched by an International Searching Authority (37 CFR
1.488(b)(2)).

Unity of invention must be addressed within 7 days from the date the PCT
application is charged to the examining group from PCT International
Application Processing Division. This simply means that a determination
must be made as to whether or not the international application relates
to one invention or to a group of inventions so linked as to form a
single general inventive concept.

If it is determined that the international application does meet the
requirements for unity of invention and no additional fees will be
requested, the international application must be returned to the
Paralegal Specialist in the examining group so that an indication to
that effect may be made on the PALM System which monitors deadlines such
as the deadline for checking unity of invention.

If the examiner determines that unity of invention is lacking, there are
two options:

(A) The examiner may conduct an international preliminary examination
covering all the claimed and previously searched inventions and indicate
that unity of invention is lacking and specify the reasons therefor
without extending an invitation to restrict or pay additional fees (PCT
Rule 68.1), or

(B) The examiner may invite the applicant to restrict the claims, so as
to comply with the requirement, or pay additional fees, pointing out the
categories of invention found. The invitation to restrict or pay
additional fees shall state the reasons for which the international
application is considered as not complying with the requirement of unity
of invention. (PCT Rule 68.2). Inventions not previously searched will
not be considered or included in the invitation.

The Written Opinion, if any, and the International Preliminary
Examination Report must be established on all inventions for which
examination fees have been paid.

If the applicant fails to reply to the invitation to restrict the claims
or pay additional examination fees due to lack of unity of invention,
the Written Opinion and Report must be established on the claims
directed to what appears to be the main invention (PCT Article
34(3)(c)).  The main invention, in case of doubt, is the first claimed
invention for which an International Search Report has been issued by
the International Searching Authority.  The main invention, as viewed by
the examiner, must be set forth on Form PCT/IPEA/405.

Whether or not the question of unity of invention has been raised by the
International Searching Authority, it may be considered by the examiner
when serving as an authorized officer of the International Preliminary
Examining Authority. In the examiner's consideration, all documents
cited by the International Searching Authority should be taken into
account and any additional relevant documents considered. However, there
are cases of lack of unity of invention, where, compared with the
procedure of inviting the applicant to restrict the international
application or pay additional fees (PCT Rule 68.2), little or no
additional effort is involved in establishing the Written Opinion and
the International Preliminary Examination Report for the entire
international application. Then reasons of economy may make it advisable
for the examiner to use the option referred to in PCT Rule 68.1 by
choosing not to invite the applicant to restrict the claims or to pay
additional fees.

Unity of invention is defined by  37 CFR 1.475 which describes the
circumstances in which the requirement of unity of invention is
considered fulfilled.

---SECTION---1875.01 Preparation of Invitation Concerning Unity

The "Invitation to restrict or pay additional fees" Form PCT/IPEA/405 is
used to invite the applicant, at his/her option, to restrict the claims
to comply with the requirements of unity of invention or to pay
additional examination fees. In addition, the examiner must explain the
reasons why the international application is not considered to comply
with the requirement of unity of invention. The examiner must also
specify, on Form PCT/IPEA/405, at least one group or groups of claims
which, if elected, would comply with the requirement for unity of
invention.

INVITATION

In the space provided on form PCT/IPEA/405, the examiner should identify
the disclosed inventions by claim numerals and indicate which disclosed
inventions are so linked as to form a single general inventive concept,
thereby complying with the requirement of unity of invention. For
example, claims to different categories of invention such as a product,
claims to a process specifically adapted for the manufacture of the
product and a claim for a use of the product would be considered related
inventions which comply with the unity of invention requirement, whereas
a claim to an apparatus for making the product in the same application
would be considered a second invention for which additional fees would
be required.  The reasons for holding that unity of invention is lacking
must be specified.  See  37 CFR 1.475 and Annex B of the Administrative
Instructions.

Also, the examiner should specify the main invention and claims directed
thereto which will be examined if the applicant fails to restrict or pay
additional fees. The main invention, in case of doubt, is the first
claimed invention or related invention before the International
Preliminary Examining Authority for which a search fee has been paid and
an International Search Report has been prepared.

The examiner should indicate the total amount of additional fees
required for examination of all claimed inventions.

In the box provided at the top of the form, the time limit for response
is set according to PCT Rule 68.2, normally a 1 month time limit.
Extensions of time are not permitted.

Since the space provided on Form PCT/IPEA/405 is limited, supplemental
attachment sheets, supplied by the examiner, with reference back to the
specific section, should be incorporated whenever necessary.

AUTHORIZED OFFICER

Form PCT/IPEA/405 must be signed by an examiner with at least partial
signatory authority.

TELEPHONIC RESTRICTION PRACTICE

Telephone practice may be used in certain cases to allow applicants to
elect an invention to be examined or to pay additional fees. Additional
fees may be charged to a deposit account using the telephone practice
only if:

(A) The Demand for International Preliminary Examination included an
authorization to charge additional fees to a deposit account,

(B) Applicant or the legal representative or agent orally agrees to
charge the additional fees to the account, and

(C) A complete record of the telephone conversation is included with the
Written Opinion including:

(1) Examiner's name;

(2) Authorizing attorney's name;

(3) Date of conversation;

(4) Invention elected and/or inventions for which additional fees paid;
and

(5) Deposit account number and amount to be charged.

If applicant or the legal representative or agent refuses to either
restrict the claims to one invention or authorize payment of additional
fees, Form PCT/IPEA/499 should be prepared and mailed to applicant.

When the telephone practice is used in making lack of unity
requirements, it is critical that the examiner orally inform applicant
that there is no right to protest the holding of lack of unity of
invention for any group of invention(s) for which no additional
examination fee has been paid.

The examiner must further orally advise applicant that any protest to
the holding of lack of unity or the amount of additional fee required
must be filed in writing no later than one month from the mailing date
of the Written Opinion or the International Preliminary Examination
Report if the lack of unity holding is first mailed with the IPER
because there was no Written Opinion. The examiner should fill in the
information on Form PCT/IPEA/499 "Chapter II PCT Telephone Memorandum
for Lack of Unity" as a record of the telephonic holding of lack of
unity.

37 CFR 1.475 Unity of invention before the International Searching
Authority, the International Preliminary Examining Authority and during
the national stage.

(a) An international and a national stage application shall relate to
one invention only or to a group of inventions so linked as to form a
single general inventive concept ("requirement of unity of invention").
Where a group of inventions is claimed in an application, the
requirement of unity of invention shall be fulfilled only when there is
a technical relationship among those inventions involving one or more of
the same or corresponding special technical features. The expression
"special technical features" shall mean those technical features that
define a contribution which each of the claimed inventions, considered
as a whole, makes over the prior art.

(b) An international or a national stage application containing claims
to different categories of invention will be considered to have unity of
invention if the claims are drawn only to one of the following
combinations of categories:

(1) A product and a process specially adapted for the manufacture of
said product; or

(2) A product and a process of use of said product; or

(3) A product, a process specially adapted for the manufacture of the
said product, and a use of the said product; or

(4) A process and an apparatus or means specifically designed for
carrying out the said process; or

(5) A product, a process specially adapted for the manufacture of the
said product, and an apparatus or means specifically designed for
carrying out the said process.

(c) If an application contains claims to more or less than one of the
combinations of categories of invention set forth in paragraph (b) of
this section, unity of invention might not be present.

(d) If multiple products, processes of manufacture or uses are claimed,
the first invention of the category first mentioned in the claims of the
application and the first recited invention of each of the other
categories related thereto will be considered as the main invention in
the claims, see PCT Article 17(3)(a) and Section  1.476(c).

(e) The determination whether a group of inventions is so linked as to
form a single general inventive concept shall be made without regard to
whether the inventions are claimed in separate claims or as alternatives
within a single claim.

18.05 Heading for Lack of Unity Action (Not Involving Species)

This application contains the following inventions or groups of
inventions which are not so linked as to form a single general inventive
concept under PCT Rule 13.1.  In order for all inventions to be
examined, the appropriate additional examination fees must be paid.

Examiner Note:

Begin all Lack of Unity actions with this heading.

18.06 Lack of Unity - Three Groups of Claims

Group [1], claim(s) [2], drawn to [3].

Group [4], claim(s) [5], drawn to [6].

Group [7], claim(s) [8], drawn to [9].

Examiner Note:

1. In brackets 1,4 and 7, insert Roman numerals for each Group.

2. In brackets 2, 5 and 8, insert respective claim numbers.

3. In brackets 3, 6 and 9, insert respective names of grouped
inventions.

18.06.01 Lack of Unity - Two (or Additional) Groups of Claims

Group [1], claim(s) [2], drawn to [3].

Group [4], claim(s) [5], drawn to [6].

Examiner Note:

This form paragraph may be used alone or following form paragraph 18.06.

18.06.02 Lack of Unity - One Additional Group of Claims

Group [1], claim  [2], drawn to [3].

Examiner Note:

This form paragraph may be used following either form paragraph 18.06 or
18.06.01.

18.07 Lack of Unity - Reasons Why Inventions Lack Unity

The inventions listed as Groups [1] do not relate to a single general
inventive concept under PCT Rule 13.1 because, under PCT Rule 13.2, they
lack the same or corresponding special technical features for the
following reasons: [2]

Examiner Note:

1. In bracket 1, insert appropriate Roman numerals for Groups involved.

2. In bracket 2, insert reasoning.

18.16 Lack of Unity - Species - Heading

This application contains claims directed to more than one species of
the generic invention.  These species are deemed to lack unity of
invention because they are not so linked as to form a single general
inventive concept under PCT Rule 13.1. 

In order for more than one species to be examined, the appropriate
additional examination fees must be paid. The species are as follows:

[1]

Examiner Note:

In bracket 1, list each species by Fig. No. or embodiment.

18.17 Lack of Unity - Species - Correspondence of the Claims to the
Species

The claims are deemed to correspond to the species listed above in the
following manner:

[1]

The following claim(s) are generic: [2]

Examiner Note:

1. This form paragraph is to be used immediately following 18.16.

2. In bracket 1, for each species, list the claims, e.g., Fig.1 - claims
1, 3 and 6.

3. In bracket 2, identify each generic claim by number or insert the
word --NONE--.

18.18 Lack of Unity - Species - Reasons Why Unity Is Lacking

The species listed above do not relate to a single general inventive
concept under PCT Rule 13.1 because, under PCT Rule 13.2, the species
lack the same or corresponding special technical features for the
following reasons: [1]

Examiner Note:

1. This form paragraph is to be used immediately following form
paragraph 18.17.

2. In bracket 1, insert reasoning.

18.19 National Stage Restriction in 35 U.S.C. 371 Applications

Restriction is required under  35 U.S.C. 121 and 372.

This application contains the following inventions or groups of
inventions which are not so linked as to form a single general inventive
concept under PCT Rule 13.1.

In accordance with  37 CFR 1.499, applicant is required, in reply to
this action, to elect a single invention to which the claims must be
restricted.

Examiner Note:

1. This form paragraph is to be used when making a restriction
requirement in an application filed under the provisions of  35 U.S.C.
371.

2. This form paragraph is to be followed by form paragraphs 18.06
through 18.06.02, as appropriate, and by form paragraph 18.07.

18.20 National Stage Election of Species in 35 U.S.C. 371 Applications

This application contains claims directed to more than one species of
the generic invention. These species are deemed to lack unity of
invention because they are not so linked as to form a single general
inventive concept under PCT Rule 13.1.

The species are as follows:

[1]

Applicant is required, in reply to this action, to elect a single
species to which the claims shall be restricted if no generic claim is
finally held to be allowable.  The reply must also identify the claims
readable on the elected species, including any claims subsequently
added.  An argument that a claim is allowable or that all claims are
generic is considered non-responsive unless accompanied by an election.

Upon the allowance of a generic claim, applicant will be entitled to
consideration of claims to additional species which are written in
dependent form or otherwise include all the limitations of an allowed
generic claim as provided by  37 CFR 1.141.  If claims are added after
the election, applicant must indicate which are readable upon the
elected species. MPEP Section  809.02(a).

Examiner Note:

1. This form paragraph is to be used when making an election of species
requirement in an application filed under the provisions of  35 U.S.C.
371.

2. In bracket 1, list each species by Fig. No. or embodiment.

3. This form paragraph is to be followed by form paragraphs 18.17 and
18.18.

18.21 National Stage Election by Original Presentation in 35 U.S.C. 371
Applications

Newly submitted claim  [1] directed to an invention that lacks unity
with the invention originally claimed for the following reasons: [2]

Since applicant has received an action on the merits for the originally
presented invention, this invention has been constructively elected by
original presentation for prosecution on the merits. Accordingly, claim 
[3] withdrawn from consideration as being directed to a nonelected
invention.  See  37 CFR 1.142(b) and MPEP Section  821.03.

---SECTION---1875.02 Reply to Invitation Concerning Lack of Unity of
Invention Administrative Instructions Section 603 Transmittal of Protest
Against Payment of Additional Fee and Decision Thereon Where
International Application is Considered to Lack Unity of Invention

The International Preliminary Examining Authority shall transmit to the
applicant, at the latest together with the international preliminary
examination report, any decision which it has taken under Rule 68.3(c)
on the protest of the applicant against payment of the additional fee
where the international application is considered to lack unity of
invention. At the same time, it shall transmit to the International
Bureau a copy of both the protest and the decision thereon, as well as
any request by the applicant to forward the texts of both the protest
and the decision thereon to the elected Offices.

37 CFR 1.489 Protest to lack of unity of invention before the
International Preliminary Examining Authority.

(a) If the applicant disagrees with the holding of lack of unity of
invention by the International Preliminary Examining Authority,
additional fees may be paid under protest, accompanied by a request for
refund and a statement setting forth reasons for disagreement or why the
required additional fees are considered excessive, or both.

(b) Protest under paragraph (a) of this section will be examined by the
Commissioner or the Commissioner's designee. In the event that the
applicant's protest is determined to be justified, the additional fees
or a portion thereof will be refunded.

(c) An applicant who desires that a copy of the protest and the decision
thereon accompany the international preliminary examination report when
forwarded to the Elected Offices, may notify the International
Preliminary Examining Authority to that effect any time prior to the
issuance of the international preliminary examination report.
Thereafter, such notification should be directed to the International
Bureau.

Applicant may reply by paying some or all addition al fees or by
restricting the claims to one invention. If applicant makes no reply
within the set time limit, the international preliminary examination
will proceed on the basis of the main invention only.

If applicant has paid an additional fee or fees, a protest to the
holding of lack of unity of invention may be filed with the
International Preliminary Examining Authority.

  NOTIFICATION OF DECISION ON PROTEST

Form PCT/IPEA/420 is used by the examining group to inform the applicant
of the decision regarding applicant's protest on the payment of
additional fees concerning unity of invention.

NOTIFICATION

The examining group checks the appropriate box; i.e., 1 or 2.  If box 2
is checked, a clear and concise explanation as to why the protest
concerning the unity of invention was found to be unjustified must be
given.

Since the space is limited, supplemental attachment sheet(s) should be
incorporated whenever necessary.

AUTHORIZED OFFICER

Form PCT/IPEA/420 must be signed by a Group Director.

---SECTION---1876 Notation of Errors and Informalities by the Examiner
Administrative Instructions Section 607 Rectifications of Obvious Errors
under Rule 91.1

Where the International Preliminary Examining Authority authorizes a
rectification of an obvious error under Rule 91.1, Rule 70.16 and
Section 602 (a) and (b) shall apply mutatis mutandis.

Although the examiner is not responsible for discovering errors in the
international application, if any errors come to the attention of the
examiner, they should be noted and called to the applicant's attention.
The examiner may invite applicant to rectify obvious errors using Form
PCT/IPEA/411. Errors that are not obvious may be called to applicant's
attention in item VII of PCT/IPEA/408.

AUTHORIZED OFFICER

Form PCT/IPEA/408 and 411 must be signed by an examiner having at least
partial signatory authority.

---SECTION---1876.01 Request for Rectification and Notification of
Action Thereon

NOTIFICATION OF DECISION CONCERNING REQUEST FOR RECTIFICATION

The rectification of obvious errors is governed by PCT Rules 91.1 and
66.5.

NOTIFICATION

If the applicant requests correction of any obvious errors in the
international application or in any paper submitted to the International
Preliminary Examining Authority, other than in the request, any
acceptable correction should be authorized by using Form PCT/IPEA/412.

The procedure governing the rectification of obvious errors is set forth
in PCT rules 91.1(d) and 26.4(a).  Rectification may be made on the
request of the applicant. Any rectification offered to the international
preliminary examining authority may be stated in a letter addressed to
the international preliminary examining authority if the rectification
is of such a nature that it can be transferred from the letter to the
international application without adversely affecting the clarity and
direct reproducibility of the sheet on to which the rectification is to
be transferred; otherwise, the applicant is required to submit a
replacement sheet embodying the rectification and the letter
accompanying the replacement sheet must draw attention to the
differences between the replaced sheet and the replacement sheet.

The examiner after fully considering applicant's Request for
Rectification of an obvious error, will notify applicant of the action
taken on Form PCT/IPEA/412. Since the space provided is limited,
supplemental sheet(s) should be incorporated whenever necessary.

AUTHORIZED OFFICER

Form PCT/IPEA/412 must be signed by an examiner having at least partial
signatory authority.

---SECTION---1877 Nucleotide and/or Amino Acid Sequence Listings During
the International Preliminary Examination

If the International Preliminary Examining Authority finds that the
international application contains disclosure of one or more nucleotide
and/or amino acid sequences but (A) the international application does
not contain a sequence listing complying with the standard provided for
in the Administrative Instructions, or (B) applicant has not furnished a
sequence listing in computer readable form complying with the standard
provided for in the Administrative Instructions, the International
Preliminary Examining Authority may request the applicant to furnish
such sequence listing or listing in computer readable form in accordance
with the Administrative Instructions.  PCT Rule 13ter.1(e)

---SECTION---1878 Preparation of the Written Opinion Article 34
Procedure before the International Preliminary Examining Authority

                  +++    

(2)(c) The applicant shall receive at least one written opinion from the
International Preliminary Examining Authority unless such Authority
considers that all of the following conditions are fulfilled:

(i) the invention satisfies the criteria set forth in Article 33(1),

(ii) the international application complies with the requirements of
this Treaty and the Regulations in so far as checked by that Authority,

(iii) no observations are intended to be made under Article 35(2), last
sentence.

                  +++    

37 CFR 1.484 Conduct of international preliminary examination.

(a) An international preliminary examination will be conducted to
formulate a non-binding opinion as to whether the claimed invention has
novelty, involves an inventive step (is non-obvious) and is industrially
applicable.

(b) International preliminary examination will begin promptly upon
receipt of a proper Demand in an application for which the United States
International Preliminary Examining Authority is competent, for which
the fees for international preliminary examination (Section  1.482) have
been paid, and which requests examination based on the application as
filed or as amended by an amendment which has been received by the
United States International Preliminary Examining Authority. Where a
Demand requests examination based on a PCT Article 19 amendment which
has not been received, examination may begin at 20 months without
receipt of a PCT Article 19 amendment. Where a Demand requests
examination based on a PCT Article 34 amendment which has not been
received, applicant will be notified and given a time period within
which to submit the amendment.

(1) Examination will begin after the earliest of:

(i) Receipt of the amendment;

(ii) Receipt of applicant's statement that no amendment will be made; or

(iii) Expiration of the time period set in the notification.

(2) No international preliminary examination report will be established
prior to issuance of an international search report.

(c) No international preliminary examination will be conducted on
inventions not previously searched by an International Searching
Authority.

(d) The International Preliminary Examining Authority will establish a
written opinion if any defect exists or if the claimed invention lacks
novelty, inventive step or industrial applicability and will set a
non-extendable time limit in the written opinion for the applicant to
reply.

(e) If no written opinion under paragraph (d) of this section is
necessary, or after any written opinion and the reply thereto or the
expiration of the time limit for reply to such written opinion, an
international preliminary examination report will be established by the
International Preliminary Examining Authority. One copy will be
submitted to the International Bureau and one copy will be submitted to
the applicant.

(f) An applicant will be permitted a personal or telephone interview
with the examiner, which must be conducted during the non-extendable
time limit for reply by the applicant to a written opinion.  Additional
interviews may be conducted where the examiner determines that such
additional interviews may be helpful to advancing the international
preliminary examination procedure.  A summary of any such personal or
telephone interview must be filed by the applicant as a part of the
reply to the written opinion or, if applicant files no reply, be made of
record in the file by the examiner.

A Written Opinion must be prepared if the examiner:

(A) Considers that the international application has any of the defects
described in PCT Article 34(4);

(B) Considers that the report should be negative with respect to any of
the claims because of a lack of novelty, inventive step
(non-obviousness) or industrial applicability;

(C) Notices any defects in the form or contents of the international
application under the PCT;

(D) Considers that any amendment goes beyond the disclosure in the
international application as originally filed;

(E) Wishes to make an observation on the clarity of the claims, the
description, the drawings or to question whether the claims are fully
supported by the description;

(F) Decides not to carry out the international preliminary examination
on a claim for which no International Search Report was issued; or

(G) Considers that no acceptable amino acid sequence listing is
available in a form that would allow a meaningful international
preliminary examination to be carried out.

The applicant must be notified on Form PCT/IPEA/408 of the defects found
in the application. The examiner is further required to fully state the
reasons for his/her opinion (PCT Rule 66.2(b)) and invite a written
reply, with amendments where appropriate (PCT Rule 66.2(c)), setting a
time limit for the reply of normally 2 months.

The examiner should insert the words "first" or "second", as the case
may be, in the space provided on page 1 of the Written Opinion.

ITEM I. BASIS OF OPINION

Applicant has two opportunities to amend the international application
prior to international preliminary examination. Under PCT Article 19,
the applicant is entitled to one opportunity to amend the claims of the
international application by filing amendments with the International
Bureau within 2 months of the mailing of the International Search
Report. See PCT Rule 46.1. Applicant is also permitted to make
amendments before the International Preliminary Examining Authority
under PCT Article 34(2)(b) and PCT Rule 66.1. Any amendment, however,
that does not accompany the filing of the Demand but is filed later may
not be considered unless it reaches the examiner before he/she takes up
the application for examination.

For the purpose of completing Box I, Item 1, of Form PCT/IPEA/408,
substitute and/or rectified sheets of the specification and drawings
filed during Chapter I proceedings are considered to be originally filed
pages/sheets and should be listed as originally filed pages/sheets. Only
those amendments or rectifications to the specification and drawings
filed on the date of Demand or after the filing of a Demand should be
listed as later filed pages/sheets. Substitute and/or rectified sheets
of claims filed during the Chapter I proceedings are also considered to
be originally filed pages/sheets and should be listed as originally
filed pages/sheets. However, amended sheets of claims filed under
Article 19 in response to the international search report are to be
indicated as pages/sheets as amended under Article 19.  Only those
amendments, or rectifications to the claims filed on the date of Demand
or after the filing of a Demand should be listed as later filed
pages/sheets. All claims present on a sheet stamped AMENDED SHEET are
listed as amended irrespective of which of the claims present on that
sheet were actually amended. If a claim is made up of sheets filed on
different dates, the latest date is the date that should be used for the
claim.

ITEM II. PRIORITY

Item II of Form PCT/IPEA/408 is to inform applicant of non-establishment
of a request for priority.

If applicant fails to furnish a copy or translation of the earlier
application, whose priority has been claimed, within the time limit set
by the examiner pursuant to PCT Rule 66.7, check box No. 1 and then
check the first box of the subsection if applicant failed to furnish a
copy of the earlier application whose priority has been claimed, and
check the second box in the subsection if applicant failed to furnish a
translation of the earlier application whose priority has been claimed.

When the claim for priority has been found invalid (e.g., the claimed
priority date is more than one year prior to the international filing
date and the notification under PCT Rule 4.10(d) has been provided or
all claims are directed to inventions which were not described and
enabled by the earlier application), check box No. 2 of Item II and
indicate why the claim for priority has been found invalid following No.
3 "Additional observations".  The examiner is reminded that when some
claims in an international application are directed to an invention
which was disclosed in the earlier application, the priority claim is
valid provided that a copy and/or translation of the earlier application
have/has been filed and the filing date of the earlier application is
one year or less from the filing date of the international application.

ITEM III.	NON-ESTABLISHMENT OF OPINION ON NOVELTY, INVENTIVE STEP AND
INDUSTRIAL APPLICABILITY

Item III of Form PCT/IPEA/408 is intended to cover situations where some
or all claims of an application are so unclear or inadequately supported
by the description that the question of novelty, inventive step
(nonobviousness), and industrial applicability cannot be considered, or
where the international application or claims thereof relate to subject
matter which does not require international preliminary examination, or
where no international search report has been established for the
claims.

If some or all of claims of an application relate to subject matter
which does not require international preliminary examination, check the
appropriate box, indicate which claims relate to that subject matter and
specify the reasons.

If some or all of the claims of an application are so unclear that no
meaningful opinion could be formed, check the appropriate box, indicate
which claims are unclear and specify the reasons.

If some or all of the claims are so inadequately supported by the
description that no meaningful opinion could be formed, check the
appropriate box.

If no international search report has been established for certain
claims, check the appropriate box and indicate the claim numbers.

ITEM IV. LACK OF UNITY OF INVENTION

Item IV of Form PCT/IPEA/408 should be used by the examiner to notify
applicant that lack of unity of invention has been found.

If in reply to an invitation to restrict, applicant restricted the
claims to a particular group, check the first box under subsection 1.

If applicant paid additional fees for examination of additional
invention, check the second box under subsection 1.

If the additional fees were paid under protest, check the third box
under subsection 1.

If applicant neither restricted nor paid additional fees in reply to the
objection of lack of unity of invention, check the fourth box under
subsection 1.

Subsection 2 of Item IV is to be completed if the examiner determines
that unity of invention is lacking but chooses not to invite the
applicant to restrict or pay additional fees.

Subsection 3 of Item IV is to be completed to indicate which claims were
the subject of international preliminary examination.

If all claims are to be examined, check the first box under subsection
3.

If only some of the claims were the subject of international preliminary
examination, check the second box under subsection 3 and identify the
claim numbers.

ITEM V. REASONED STATEMENT WITH REGARD TO NOVELTY, INVENTIVE STEP, AND
INDUSTRIAL APPLICABILITY OF CLAIMS

In Item V, the examiner must list in summary form all claims with regard
to the criteria of novelty (N), inventive step (IS), and industrial
applicability (IA).

Item V is the main purpose of the Written Opinion. All claims without
fatal defects are treated on the merits in Item V as to novelty,
inventive step (nonobviousness) and industrial applicability.

The treatment of claims in Item V is similar in format to an Office
action in a U.S. national patent application except that the words
"rejection" and "patentability" are never used in a Written Opinion. On
the international level, all Written Opinions are nonbinding and a
patent does not issue; what does issue is an International Preliminary
Examination Report (IPER), which is nonbinding on the Elected States.

Examiner statements in Item V can be positive and/or negative. If, for
example, claims define over the prior art and meet the test of novelty,
inventive step (nonobviousness) and industrial applicability, a
statement equivalent to detailed reasons for allowance in a
corresponding U.S. application, indicating how the claims meet the tests
of novelty, inventive step and industrial applicability is sufficient.
If on the other hand it is the opinion of the examiner that some or all
claims lack novelty, inventive step, and/or industrial applicability,
specific reasons for the opinion employing PCT form paragraphs, if
appropriate, must be given similar to those used in U.S. national
applications including a statement of motivation to combine references
cited regarding negative statements of inventive step.

Form paragraphs to be used by the examiners appear in the relevant
sections of this Manual. All examiners are expected to use the PCT form
paragraphs in formulating any negative statements listed in Item V.

Examiners are encouraged to indicate any amendments which applicant
could present which would avoid a negative statement in the
International Preliminary Examination Report.

All international applications where an examination has been demanded
should be searched by the examiner at least to the point of bringing the
previous search up to date. Prior art discovered in a search and applied
in an Item V statement must be made of record in Item V.  Prior art
already cited on the International Search Report need not again be cited
on the Written Opinion or International Preliminary Examination Report.
The subsequently discovered prior art is to be cited in compliance with
PCT Rule 43.5 and Administrative Instructions Section 503 using the same
citation format used on the International Search Report.

18.01 Lacks Novelty

Claim  [1] novelty under PCT Article 33(2) as being anticipated by [2].

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --lack-- or --lacks--, as appropriate.

2. In bracket 2, insert name of prior art relied upon.

18.02 Lacks Inventive Step -  One Reference

Claim  [1] an inventive step under PCT Article 33(3) as being obvious
over [2]. [3]

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --lack-- or --lacks--, as appropriate.

2. In bracket 2, insert name of prior art relied upon.

3. In bracket 3, add reasoning.

18.02.01 Lacks Inventive Step - Two References

Claim  [1] an inventive step under PCT Article 33(3) as being obvious
over [2] in view of [3]. [4]

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --lack-- or --lacks--, as appropriate.

2. In bracket 2, insert name of PRIMARY prior art relied upon.

3. In bracket 3, insert name of SECONDARY prior art relied upon.

4. In bracket 4, add reasoning.

18.02.02 Lacks Inventive Step - Additional Reference

Claim  [1] an inventive step under PCT Article 33(3) as being obvious
over the prior art as applied in the immediately preceding paragraph and
further in view of [2]. [3]

Examiner Note:

1. This form paragraph may follow either 18.02 or 18.02.01.

2. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --lack-- or --lacks--, as appropriate.

3. In bracket 2, insert name of additional prior art relied upon.

4. In bracket 3, add reasoning.

18.03 Lacks Industrial Applicability

Claim  [1] industrial applicability as defined by PCT Article 33(4).  
[2]

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --lack-- or --lacks--, as appropriate.

2. In bracket 2, add reasoning.

18.04 Meets Novelty, Inventive Step and Industrial Applicability

Claim  [1] the criteria set out in PCT Article 33(2)-(4), because the
prior art does not teach or fairly suggest [2].

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --meet-- or --meets--, as appropriate.

2. In bracket 2, insert patentable subject matter.

ITEM VI. CERTAIN DOCUMENTS CITED

Item VI provides a convenient manner of listing two different types of
documents:

(A) Published documents - by the application number or patent number as
well as the publication date, filing date and priority date; and

(B) Nonwritten disclosure - by the kind of disclosure, date of the
disclosure and the date of the written disclosure referring to the
nonwritten disclosure.

ITEM VII.	CERTAIN DEFECTS IN THE INTERNATIONAL APPLICATION

In Item VII, defects in the form and content of the international
application are identified.

Examples of defects that would be listed in Item VII are:

(A) Informalities such as misplaced and/or omitted drawing numerals,
misspelled words, grammatical errors, etc.

(B) An amendment to the drawings, description or claims which was not
timely filed.

(C) Improper multiple-dependent claims (PCT Rule 6.4) if not indicated
under Item III.

The following form paragraphs are used in Box VII of PCT/IPEA/408 or
PCT/IPEA/409 "Certain defects in the international application" for
noting technical defects.

18.08 Drawing Objections - Defects

The drawings are objected to under PCT Rule 66.2(a)(iii) as containing
the following defect(s) in the form or content thereof: [1]

Examiner Note:

In bracket 1, insert identification of defects in drawings.

18.08.01 Drawing Is Required

The subject matter of this application admits of illustration by drawing
to facilitate understanding of the invention. Applicant is required
under PCT Article 7(1) to furnish a drawing.

18.09 Description Defective

The description is objected to as containing the following defect(s)
under PCT Rule 66.2(a)(iii) in the form or contents thereof: [1]

Examiner Note:

In bracket 1, insert the technical problem, e.g., misspelled word.

18.10 Claims Defective

Claim  [1] objected to under PCT Rule 66.2(a)(iii) as containing the
following defect(s) in the form or contents thereof: [2]

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s) and
the appropriate verb --is-- or --are--.

2. In bracket 2, identify the technical deficiency.

ITEM VIII. CERTAIN OBSERVATIONS ON THE INTERNATIONAL APPLICATION

In Item VIII, the examiner notifies the applicant of observations made
as to the clarity of the claims, the description, the drawings, or on
the question whether the claims are fully supported by the description.

If the claims, the description, or the drawings are so unclear, or the
claims are so inadequately supported by the description, that no
meaningful opinion can be formed on the question of novelty, inventive
step (nonobviousness) or industrial applicability, the applicant is so
informed in Item III (PCT Article 34(4)(a)(ii)).  Reasons for the
examiner's opinion that the claims, description and drawings, etc., lack
clarity must also be provided.

If the above situation is found to exist in certain claims only, the
provisions of PCT Article 34(4)(ii) shall apply to those claims only.

If the lack of clarity of the claims, the description, or the drawings
is of such a nature that it is possible to form a meaningful opinion on
the claimed subject matter, then it is required that the examiner
consider the claims and render a Written Opinion on novelty, inventive
step, and industrial applicability in Item V of Form PCT/IPEA/408.

Since the claims of an international application are not subject to a
rejection on either art or indefiniteness consistent with U.S. practice,
observations by the examiner with regard to clarity of the claims, the
description and the drawings will be treated in the form of an objection
in the Written Opinion in Item VIII.

The following form paragraphs are used in Box VIII "Certain observations
on the international application" of PCT/IPEA/408 and PCT/IPEA/409 for
noting objections which are substantive rather than merely technical in
nature.

18.11 Drawing Objections - Lack Clarity

The drawings are objected to under PCT Rule 66.2(a)(v) as lacking
clarity under PCT Article 7 because: [1]

Examiner Note:

In bracket 1, insert reasons why the drawings lack clarity, e.g.,
inaccurate showing.

18.12 Description Defective - Lacks Written Description

The description is objected to under PCT Rule 66.2(a)(v) as lacking
clarity under PCT Article 5 because it fails to contain an adequate
written description of [1].  The description is inadequate because: [2]

Examiner Note:

1. In bracket 1, identify the subject matter not described in the
description.

2. In bracket 2, insert reasons.

18.12.01 Claims Objectionable - Inadequate Written Description

Claim  [1] objected to as lacking clarity under PCT Rule 66.2(a)(v)
because practice of the claimed invention is not adequately described in
writing, as required under PCT Rule 5.1(a)(iii), for the reasons set
forth in the immediately preceding paragraph.

Examiner Note:

1. This form paragraph is to be used immediately after form paragraph
18.12.

2. In bracket 1, pluralize `claim' if needed, insert claim no.(s), and
the verb --is-- or --are--, as appropriate.

18.13 Description Defective - Not Enabling

The description is objected to under PCT Rule 66.2(a)(v) as lacking
clarity under PCT Article 5 because it fails to adequately enable
practice of the claimed invention because: [1]

Examiner Note:

In bracket 1, insert objection and reasons.

18.13.01 Claims Objectionable - Non-Enabling Disclosure

Claim  [1] objected to as lacking clarity under PCT Rule 66.2(a)(v)
because practice of the claimed invention is not enabled as required
under PCT Rule 5.1(a) for the reasons set forth in the immediately
preceding paragraph.

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s) and
the appropriate verb --is-- or --are--.

2. This form paragraph is to be used immediately after form paragraph
18.13.

18.14 Description Defective - No Best Mode

The description is objected to under PCT Rule 66.2(a)(v) as lacking
clarity for failing to describe the best mode for practicing the claimed
subject matter as required by PCT Rule 5.1(a)(v).  The best mode is not
described because: [1]

Examiner Note:

In bracket 1, insert objection and reasons.

18.14.01 Claims Objectionable - Lack of Best Mode

Claim  [1] objected to under PCT Rule 66.2(a)(v) as lacking clarity
because the claim  [2] based on a description which fails to describe
the best mode for carrying out the invention under PCT Rule 5.1(a)(v)
for the reasons set forth in the immediately preceding paragraph.

Examiner Note:

1. In bracket 1, pluralize `claim' if needed, insert claim no.(s) and
the appropriate verb --is-- or --are--.

2. In bracket 2, pluralize `claim' if needed, and insert the appropriate
verb --is-- or --are--.

3. This form paragraph is to be used immediately following form
paragraph 18.14.

18.15 Claims Objectionable - Indefiniteness

Claim  [1] objected to under PCT Rule 66.2(a)(v) as lacking clarity
under PCT Article 6 because claim  [2] indefinite for the following
reason(s): [3]

Examiner Note:

1. In brackets 1 and 2, pluralize `claim' if needed, insert claim no.(s)
and the appropriate verb --is-- or --are--.

2. In bracket 3, insert reasons.

TIME TO REPLY

An invitation by the International Preliminary Examining Authority
(IPEA) to applicant to reply to the examiner's Written Opinion will
normally set a 2-month time limit to reply.

The time may be as short as 1 month or as long as 3 months dependent
upon the time remaining before the International Preliminary Examination
Report is due.

AUTHORIZED OFFICER

Every Written Opinion must be signed by an examiner having at least
partial signatory authority.

The first document prepared by the examiner in most international
applications during the international preliminary examination
proceedings will be the Written Opinion. Normally only in those
international applications where all the formal matters are proper and
the claims are directed to inventions which have novelty, inventive step
and industrial applicability will an International Preliminary
Examination Report be established without a Written Opinion having been
issued first.

---SECTION---1878.01

---SECTION---1878.01(a) Prior Art Under Chapter II Article 33 The
International Preliminary Examination

                  +++    

(6) The international preliminary examination shall take into
consideration all the documents cited in the international search
report. It may take into consideration any additional documents
considered to be relevant in the particular case. Rule 64 Prior Art for
International Preliminary Examination

64.1. Prior Art

(a) For the purposes of Article 33(2) and (3), everything made available
to the public anywhere in the world by means of written disclosure
(including drawings and other illustrations) shall be considered prior
art provided that such making available occurred prior to the relevant
date.

(b) For the purposes of paragraph (a), the relevant date will be:

(i) subject to item (ii), the international filing date of the
international application under international preliminary examination;

(ii) where the international application under international preliminary
examination validly claims the priority of an earlier application, the
filing date of such earlier application.

64.2. Non-Written Disclosures

In cases where the making available to the public occurred by means of
an oral disclosure, use, exhibition or other non-written means
("non-written disclosure") before the relevant date as defined in Rule
64.1(b) and the date of such non-written disclosure is indicated in a
written disclosure which has been made available to the public on a date
which is the same as, or later than, the relevant date, the non-written
disclosure shall not be considered part of the prior art for the
purposes of Article 33(2) and (3). Nevertheless, the international
preliminary examination report shall call attention to such non-written
disclosure in the manner provided for in Rule 70.9.

64.3. Certain Published Documents

In cases where any application or any patent which would constitute
prior art for the purposes of Article 33(2) and (3) had it been
published prior to the relevant date referred to in Rule 64.1 was
published on a date which is the same as, or later than,the relevant
date but was filed earlier than the relevant date or claimed the
priority of an earlier application which had been filed prior to the
relevant date, such published application or patent shall not be
considered part of the prior art for the purposes of Article 33(2) and
(3). Nevertheless, the international preliminary examination report
shall call attention to such application or patent in the manner
provided for in Rule 70.10.

The relevant date for the purpose of considering prior art is defined in
PCT Rule 64.1(b) as the international filing date or, where the
international application contains a valid claim for priority, that date
of priority.

In cases where any application or any patent which would constitute
prior art for the purpose of international preliminary examination as to
novelty and inventive step (nonobviousness) was published on or after
the relevant date of the international application under consideration
but was filed earlier than the relevant date or claimed the priority of
an earlier application which was filed prior to the relevant date, the
published application or patent is not to be considered part of the
prior art for the purpose of international preliminary examination as to
novelty and inventive step. Nevertheless, these documents are to be
listed on Form PCT/IPEA/409 under the heading "CERTAIN PUBLISHED
DOCUMENTS".

In determining whether there is inventive step, account should be taken
of what the applicant acknowledges in his/her description as known. Such
acknowledged prior art should be regarded as correct and used during
preliminary examination where appropriate.

For oral or nonwritten disclosure, see PCT Rules 64.2 and 70.9.

---SECTION---1878.01(a)(1) Novelty Under Chapter II

Novelty is defined in PCT Article 33(2). Article 33 The International
Preliminary Examination

                  +++    

(2) For the purposes of the international preliminary examination, a
claimed invention shall be considered novel if it is not anticipated by
the prior art as defined in the Regulations.

                  +++    

---SECTION---1878.01(a)(2) Inventive Step Under Chapter II

Inventive step is defined in PCT Article 33(3). Article 33 The
International Preliminary Examination

                  +++    

(3) For purposes of the international preliminary examination, a claimed
invention shall be considered to involve an inventive step if, having
regard to the prior art as defined in the Regulations, it is not, at the
prescribed relevant date, obvious to a person skilled in the art.

                  +++      Rule 65   Inventive Step or Non-Obviousness

65.1. Approach to Prior Art

For the purposes of Article 33(3), the international preliminary
examination shall take into consideration the relation of any particular
claim to the prior art as a whole. It shall take into consideration the
claim's relation not only to individual documents or parts thereof taken
separately but also its relation to combinations of such documents or
parts of documents, where such combinations are obvious to a person
skilled in the art.

65.2. Relevant Date

For the purposes of Article 33(3), the relevant date for the
consideration of inventive step (non-obviousness) is the date prescribed
in Rule 64.1.

---SECTION---1878.01(a)(3) Industrial Applicability Under Chapter II

Industrial applicability is defined in PCT Article 33(4). Article 33 The
International Preliminary Examination

                  +++    

(4) For the purposes of the international preliminary examination, a
claimed invention shall be considered industrially applicable if,
according to its nature, it can be made or used (in the technological
sense) in any kind of industry.  Industry shall be understood in its
broadest sense, as in the Paris Convention for the Protection of
Industrial Property.

                  +++    

---SECTION---1878.02 Reply to the Written Opinion Article 34 Procedure
before the International Preliminary Examining Authority

                  +++    

(2)(a) The applicant shall have a right to communicate orally and in
writing with the International Preliminary Examining Authority.

(b) The applicant shall have a right to amend the claims, the
description, and the drawings, in the prescribed manner and within the
prescribed time limit, before the international preliminary examination
report is established. The amendment shall not go beyond the disclosure
in the international application as filed.

                  +++    

(d) The applicant may respond to the written opinion.

                  +++      Rule 66 Procedure before the International
Preliminary Examining Authority

                  +++    

66.3. Formal Response to the International Preliminary Examining
Authority

(a) The applicant may respond to the invitation referred to in Rule
66.2(c) of the International Preliminary Examining Authority by making
amendments or if he disagrees with the opinion of that Authority by
submitting arguments, as the case may be, or do both.

(b) Any response shall be submitted directly to the International
Preliminary Examining Authority.

                  +++    

66.5. Amendment

Any change, other than the rectification of obvious errors, in the
claims, the description, or the drawings, including cancellation of
claims, omission of passages in the description, or omission of certain
drawings, shall be considered an amendment.

66.6. Informal Communications with the Applicant

The International Preliminary Examining Authority may, at any time,
communicate informally, over the telephone, in writing, or through
personal interviews, with the applicant. The said Authority shall, at
its discretion, decide whether it wishes to grant more than one personal
interview if so requested by the applicant, or whether it wishes to
reply to any informal written communication from the applicant.

                  +++    

66.8. Form of Amendments

(a) Subject to paragraph (b), the applicant shall be required to submit
a replacement sheet for every sheet of the international application
which, on account of an amendment, differs from the sheet previously
filed. The letter accompanying the replacement sheets shall draw
attention to the differences between the replaced sheets and the
replacement sheets and shall preferably also explain the reasons for the
amendment.

(b) Where the amendment consists in the deletion of passages or in minor
alterations or additions, the replacement sheet referred to in paragraph
(a) may be a copy of the relevant sheet of the international application
containing the alterations or additions, provided that the clarity and
direct reproducibility of that sheet are not adversely affected. To the
extent that any amendment results in the cancellation of an entire
sheet, that amendment shall be communicated in a letter which shall
preferably also explain the reasons for the amendment.

66.9. Language of Amendments

(a) Subject to paragraphs (b) and (c), if the international application
has been filed in a language other than the language in which it is
published, any amendment, as well as any letter referred to in Rule
66.8, shall be submitted in the language of publication.

(b) If the international preliminary examination is carried out,
pursuant to Rule 55.2, on the basis of a translation of the
international application, any amendment, as well as any letter referred
to in paragraph (a), shall be submitted in the language of that
translation.

(c) Subject to Rule 55.3, if an amendment or letter is not submitted in
a language as required under paragraphs (a) or (b), the International
Preliminary Examining Authority shall, if practicable having regard to
the time limit for establishing the international preliminary
examination report, invite the applicant to furnish the amendment or
letter in the required language within a time limit which shall be
reasonable under the circumstances.

(d) If the applicant fails to comply, within the time limit under
paragraph (c), with the invitation to furnish an amendment in the
required language, the amendment shall not be taken into account for the
purposes of the international preliminary examination. If the applicant
fails to comply, within the time limit under paragraph (c), with the
invitation to furnish a letter referred to in paragraph (a) in the
required language, the amendment concerned need not be taken into
account for the purposes of the international preliminary examination.

37 CFR 1.485 Amendments by applicant during international preliminary
examination.

(a) The applicant may make amendments at the time of filing of the
Demand. The applicant may also make amendments within the time limit set
by the International Preliminary Examining Authority for reply to any
notification under Section  1.484(b) or to any written opinion. Any such
amendments must:

(1) Be made by submitting a replacement sheet in compliance with PCT
Rules 10 and 11.1 to 11.13 for every sheet of the application which
differs from the sheet it replaces unless an entire sheet is cancelled;
and

(2) Include a description of how the replacement sheet differs from the
replaced sheet.  Amendments that do not comply with PCT Rules 10 and
11.1 to 11.13 may not be entered.

(b) If an amendment cancels an entire sheet of the international
application, that amendment shall be communicated in a letter.

All amendments in reply to a Written Opinion must be received within the
time limit set for reply in order to be assured of consideration in the
International Preliminary Examination Report. Amendments filed at or
before expiration of the period for reply will be considered. Since the
examiner will begin to draw up the final report rather promptly after
the time period expires, amendments filed after expiration of the reply
period may not be considered. In view of the short time period for
completion of preliminary examination, applicants are strongly
encouraged to file any amendments promptly.  37 CFR 1.484(d) does not
allow for extensions of time to reply to a Written Opinion.  The policy
of not allowing extensions of time is to ensure that the USPTO can meet
its treaty deadline for transmission of the final report.

Any change, other than the rectification of obvious errors in the
claims, the description, or the drawings, including the cancellation of
claims, omission of passages in the description or omission of certain
drawings will be considered an amendment (PCT Rule 66.5). The Patent and
Trademark Office when acting as the International Preliminary Examining
Authority will not accept any non-English applications or amendments.

Any amendments to the claims, the description, and the drawings in reply
to a Written Opinion must (1) be made by submitting a replacement sheet
for every sheet of the application which differs from the sheet it
replaces unless an entire sheet is cancelled and (2) include a
description of how the replacement sheet differs from the replaced sheet
in accordance with PCT Rule 66.8.

In the particular case where the amendment cancels claims, passages in
the description or certain drawings resulting in the cancellation of an
entire sheet, the amendment must be submitted in the form of a letter
cancelling the sheet (PCT Rule 66.8(a)).

Replacement sheets must be in typed form.

Any paper submitted by the applicant, if not in the form of a letter,
must be accompanied by a letter signed by the applicant or agent (PCT
Rule 92.1). The letter must draw attention to the differences between
the replaced sheet and the replacement sheet.

The examiner should make sure that amendments filed in accordance with
the PCT, which are necessary to correct any deficiencies notified to the
applicant, do not go beyond the disclosure of the international
application as filed, thus violating PCT Article 34(2)(b). In other
words, no amendment should contain matter that cannot be substantiated
by the application as originally filed. In a situation where new matter
is introduced by amendment in reply to a Written Opinion, the
International Preliminary Examination Report will be established as if
the amendment had not been made, and the report should so indicate. It
shall also indicate the reasons why the amendment goes beyond the
disclosure (PCT Rule 70.2(c)).

INTERVIEWS

The examiner or applicant may, during the time limit for reply to the
Written Opinion, request a telephone or personal interview. Only one
interview is a matter of right, whether by telephone or in person.
Additional interviews may be authorized by the examiner in a particular
international application where such additional interview may be helpful
to advance the international preliminary examination procedure.

All interviews of substance must be made of record by using PCT/IPEA/428
Notice on Informal Communication with the Applicant.

When an interview is arranged, whether by telephone or in writing, and
whether by the examiner or by the applicant, the matters for discussion
should be stated.

The records of interviews or telephone conversations should indicate,
where appropriate, whether a reply is due from the applicant or agent or
whether the examiner wishes to issue an additional written opinion or
establish the International Preliminary Examination Report.

If the applicant desires to reply to the Written Opinion, such reply
must be filed within the time limit set for reply in order to assure
consideration. No extensions to the time limit will be considered or
granted. If no timely reply is received from the applicant, the
International Preliminary Examination Report will be established by the
examiner, treating each claim substantially as it was treated in the
Written Opinion. Replies to the Written Opinion which are not filed
within the time limit set but which reach the examiner before the
examiner takes up the application for preparation of the final report
may be considered. Thus, only timely replies can be assured of
consideration.

The applicant may reply to the invitation referred to in Rule 66.2(c) by
making amendments or, if the applicant disagrees with the opinion of the
authority, by submitting arguments, as the case may be, or both (PCT
Rule 66.3).

The United States rules pertaining to international preliminary
examination of international applications do not provide for any
extension of time to reply to a first Written Opinion.

If applicant does not reply to the Written Opinion, the International
Preliminary Examination Report will be prepared in time for forwarding
to the International Division in finished form by 27 months from the
priority date.

---SECTION---1879 Preparation of the International Preliminary
Examination Report Article 35 The International Preliminary Examination
Report

(1) The international preliminary examination report shall be
established within the prescribed time limit and in the prescribed form.

(2) The international preliminary examination report shall not contain
any statement on the question whether the claimed invention is or seems
to be patentable or unpatentable according to any national law. It shall
state, subject to the provisions of paragraph (3), in relation to each
claim, whether the claim appears to satisfy the criteria of novelty,
inventive step (non-obviousness), and industrial applicability, as
defined for the purposes of the international preliminary examination in
Article 33(1) to (4). The statement shall be accompanied by the citation
of the documents believed to support the stated conclusion with such
explanations as the circumstances of the case may require. The statement
shall also be accompanied by such other observations as the Regulations
provide for.

(3)(a) If, at the time of establishing the international preliminary
examination report, the International Preliminary Examining Authority
considers that any of the situations referred to in Article 34(4)(a)
exists, that report shall state this opinion and the reasons therefor.
It shall not contain any statement as provided in paragraph (2).

(b) If a situation under Article 34(4)(b) is found to exist, the
international preliminary examination report shall, in relation to the
claims in question, contain the statement as provided in subparagraph
(a), whereas, in relation to the other claims, it shall contain the
statement as provided in paragraph (2). Administrative Instructions
Section 604 Guidelines for Explanations Contained in the International
Preliminary Examination Report

(a) Explanations under Rule 70.8 shall clearly point out to which of the
three criteria of novelty, inventive step (nonobviousness) and
industrial applicability referred to in Article 35(2), taken separately,
any cited document is applicable and shall clearly describe, with
reference to the cited documents, the reasons supporting the conclusion
that any of the said criteria is or is not satisfied.

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

After examination of the international application, if there are no
negative statements and/or negative comments for Form PCT/IPEA/408, then
the only statement that will issue from the International Preliminary
Examining Authority will be the International Preliminary Examination
Report (IPER).

The International Preliminary Examination Report is established on Form
PCT/IPEA/409.

The International Preliminary Examination Report must be established
within 28 months from the priority date if the Demand was filed prior to
the expiration of 19 months from the priority date; otherwise, the time
limit is 9 months from the start of the international preliminary
examination. To meet this 28-month date for establishing the report,
Office practice is to complete internal processing by 27 months from the
priority date in order to provide adequate time for reviewing, final
processing and mailing. Thus, under normal circumstances, the applicant
receives the report, at the latest, 2 months before national processing
at the elected Offices may start.  This ensures that he/she has time to
consider whether, and in which elected Offices, he/she wants to enter
the national stage and to take the necessary action.

The International Preliminary Examination Report contains, among other
things, a statement (in the form of simple "yes" or "no"), in relation
to each claim which has been examined, on whether the claim appears to
satisfy the criteria of novelty, inventive step (non-obviousness) and
industrial applicability. The statement is, where appropriate,
accompanied by the citation of relevant documents together with concise
explanations pointing out the criteria to which the cited documents are
applicable and giving reasons for the International Preliminary
Examining Authority's conclusions. Where applicable, the report also
includes remarks relating to the question of unity of invention.

The International Preliminary Examination Report identifies the basis on
which it is established, that is, whether, and if so, which amendments
have been taken into account. Replacement sheets containing amendments
under PCT Article 19 and/or Article 34 which have been taken into
account are attached as "annexes" to the International Preliminary
Examination Report. Amendments under PCT Article 19 which have been
considered as reversed by an amendment under PCT Article 34 or which
have been superseded by later replacement sheets are not annexed to the
report; neither are the letters which accompany replacement sheets.

The International Preliminary Examination Report may not express a view
on the patentability of the invention.  PCT Article 35(2) expressly
states that "the international preliminary examination report shall not
contain any statement on the question whether the claimed invention is
or seems to be patentable or unpatentable according to any national
law."

CLASSIFICATION OF SUBJECT MATTER

The classification of the subject matter shall be either (1) that given
by the International Searching Authority under PCT Rule 43.3, if the
examiner agrees with such classification, or (2) shall be that which the
examiner considers to be correct, if the examiner does not agree with
that classification. Both the International Patent Classification (IPC)
and the U.S. classification should be given. This classification is
placed on the first sheet of the report.

ITEM I. BASIS OF REPORT

The International Preliminary Examination Report will be established on
the basis of any amendments, rectifications, priority and/or unity of
invention holdings and shall answer the questions concerning novelty,
inventive step, and industrial applicability for each of the claims
under examination.

In completing Form PCT/IPEA/409, the examiner should first indicate any
amendments and/or rectifications of obvious errors taken into account in
establishing the International Preliminary Examination Report. The
amendments and/or rectifications should be indicated by references to
the dates on which the amendments and/or rectifications were filed.

For the purpose of completing Box I, item 1, substitute and/or rectified
sheets of the specification and drawings filed during Chapter I
proceedings are considered to be originally filed pages/sheets and
should be listed as originally filed pages/sheets. Only those amendments
or rectifications to the specification and drawings filed on the date of
Demand or after the filing of a Demand should be listed as later filed
pages/sheets.

Substitute and/or rectified sheets of claims filed during the Chapter I
proceedings are also considered to be originally filed claims and should
be listed as originally filed claims. However, amended sheets of claims
filed under Article 19 in response to the international search report
are to be indicated as claims as amended under Article 19. Applicant's
submission of a timely amendment to the claims alleged to be under
Article 19 is accepted under Article 34 (not Article 19) unless the
International Bureau has indicated the amendments were accepted under
Article 19. Only those amendments, or rectifications to the claims filed
on the date of Demand or after the filing of a Demand should be listed
as later filed claims. All claims present on a sheet stamped AMENDED
SHEET are listed as amended irrespective of which of the claims present
on that sheet were actually amended.  If a claim is made up of sheets
filed on different dates, the latest date is the date that should be
used for the claim.

Amendments and/or rectifications filed but not taken into account in the
establishment of the report (e.g., an amendment not taken into account
because the amendment went beyond the disclosure of the international
application as filed or a rectification that is not considered to be
merely a correction of an obvious error) are then indicated separately.
The replacement sheets (but not replacement sheets superseded by later
replacement sheets) or letters cancelling sheets under PCT Rule 66.8(a)
are included as an annex to the report.

The final report package when sent to the the International Application
Processing Division for mailing must include copies of all amendments
and rectifications entered and any cover letters to those amendments.

ITEM II. PRIORITY

Item II of Form PCT/IPEA/409 is to inform applicant of non-establishment
of a request for priority.  If the report is established as if the
priority claim contained in the Request of the international application
had not been made, it shall so indicate.  This will occur in the event
that the applicant has failed to comply with the invitation to furnish
either

(A) a copy of the earlier application whose priority is claimed, or

(B) a translation of the earlier application, or

(C) where the priority claim is found invalid, e.g., the claimed
priority date is more than one year prior to the international filing
date (PCT Rule 17) or all claims are directed to inventions which were
not described and enabled by the earlier application (PCT Rule 64.1), or

(D) where the priority claim has been withdrawn.

ITEM III. NON-ESTABLISHMENT OF OPINION WITH REGARD TO NOVELTY, INVENTIVE
STEP OR INDUSTRIAL APPLICABILITY

Indications that a report has not been established on the questions of
novelty, inventive step or industrial applicability, either as to some
claims or as to all claims, are given in Item III on the Report. The
examiner must specify that the report has not been established because:

(A) the application relates to subject matter which does not require
international preliminary examination;

(B) the description, claims or drawings are so unclear that no
meaningful opinion could be formed;

(C) the claims are so inadequately supported by the description that no
meaningful opinion could be formed.

Where the report has not been established in relation to certain claims
only, the claims affected must be specified.

ITEM IV. LACK OF UNITY OF INVENTION

If the applicant has paid additional fees or has restricted the claims
in response to an invitation to do so or if the applicant has failed to
respond to the invitation to pay additional fees or restrict the claims,
the International Preliminary Examination Report shall so indicate. The
examiner should indicate whether:

(A) the claims have been restricted;

(B) additional fees have been paid without protest;

(C) additional fees have been paid by the applicant under protest;

(D) the applicant has neither restricted the claims nor paid additional
fees;

(E) the examiner was of the opinion that the international application
did not comply with the requirement of unity of invention but decided
not to issue an invitation to restrict the claims or pay additional
fees.

In addition, if the examiner is examining less than all the claims, the
examiner must indicate which parts of the international application
were, and which parts were not, the subject of international preliminary
examination.

In the case where additional fees were paid under protest, the text of
the protest, together with the decision thereon, must be annexed to the
report by International Application Processing Division IPEA personnel
if the applicant has so requested.

Where an indication has been given under item (E) above, the examiner
must also specify the reasons for which the international application
was not considered as complying with the requirement of unity of
invention.

ITEM V. REASONED STATEMENT UNDER ARTICLE 35(2) WITH REGARD TO NOVELTY,
INVENTIVE STEP, AND INDUSTRIAL APPLICABILITY; AND CITATIONS AND
EXPLANATIONS SUPPORTING SUCH STATEMENT

The examiner must indicate whether each claim appears to satisfy the
criteria of novelty, inventive step (nonobviousness), and industrial
applicability. The determination or statement should be made on each of
the three criteria taken separately. The determination as to any
criteria should be negative if the criteria as to the particular claim
is not satisfied. The examiner should always cite documents believed to
support any negative determination as to novelty and inventive step. Any
negative holding as to lack of industrial applicability must be fully
explained. See the discussion under MPEP Section  1878, Item V.  The
citation of documents should be in accordance with Administrative
Instructions Sections 503 and 611. The procedure is the same as the
procedure for search report citations. Explanations should clearly
indicate, with reference to the cited documents, the reasons supporting
the conclusions that any of the said criteria is or is not satisfied,
unless the statement is positive and the reason for citing any document
is easy to understand when consulting the document. If only certain
passages of the cited documents are relevant, the examiner should
identify them, for example, by indicating the page, column, or the lines
where such passages appear.  Preferably, a reasoned statement should be
provided in all instances.

ITEM VI. CERTAIN DOCUMENTS CITED

If the examiner has discovered, or the International Search Report has
cited, a relevant document which refers to a nonwritten disclosure, and
the document was only published on or after the relevant date of the
international application, the examiner must indicate on the
International Preliminary Examination Report:

(A) the date on which the document was made available to the public;

(B) the date on which the non-written public disclosure occurred.

The examiner should also identify any published application or patent
and should provide for each such published application or patent the
following indications:

(A) its date of publication;

(B) its filing date, and its claimed priority date (if any).

The Report may also indicate that, in the opinion of the International
Preliminary Examining Authority, the priority date of the document cited
has not been validly claimed (PCT Rule 70.10).

Guidelines explaining to the examiner the manner of indicating certain
special categories of documents as well as the manner of indicating the
claims to which the documents cited in such report are relevant are set
forth in Administrative Instructions Sections 507(c), (d), and (e) and
508.

ITEM VII. CERTAIN DEFECTS IN THE INTERNATIONAL APPLICATION

  If, in the opinion of the examiner, defects existing in the form or
contents of the international application have not been suitably solved
at the prescribed time limit for establishing the Preliminary
Examination Report, the examiner may include this opinion in the report,
and if included, must also indicate the reasons therefor. See the
discussion under MPEP Section  1878, Item VII.

ITEM VIII. CERTAIN OBSERVATIONS ON THE INTERNATIONAL APPLICATION

  If, in the opinion of the examiner, the clarity of claims, the
description, and the drawings, or the question as to whether the claims
are fully supported by the description have not been suitably solved at
the prescribed time limit for establishing the Preliminary Examination
Report, the examiner may include this opinion in the report, and if
included, must also indicate the reasons therefor. See the discussion
under MPEP Section  1878, Item VIII.

CERTIFICATION

When completing the certification of the report, the examiner must
indicate the date on which the Demand for International Preliminary
Examination was submitted and the date on which the examiner completed
the report and the name and mailing address of the International
Preliminary Examining Authority.

These last mentioned items may either be completed when including the
other data or when completing the certification. Every International
Preliminary Examination Report must be signed by a primary examiner.

Form PCT/IPEA/409. International Preliminary Examination Report[GRAPHIC]

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---SECTION---1879.01 Time Limit for Preparing Report Rule 69 Start of
and Time Limit for International Preliminary Examination

69.1. Start of International Preliminary Examination

(a) Subject to paragraphs (b) to (e), the International Preliminary
Examining Authority shall start the international preliminary
examination when it is in possession both of the demand and of either
the international search report or a notice of the declaration by the
International Searching Authority under Article 17(2)(a) that no
international search report will be established.

(b) If the competent International Preliminary Examining Authority is
part of the same national Office or intergovernmental organization as
the competent International Searching Authority, the international
preliminary examination may, if the International Preliminary Examining
Authority so wishes and subject to paragraph (d), start at the same time
as the international search.

(c) Where the statement concerning amendments contains an indication
that amendments under Article 19 are to be taken into account (Rule
53.9(a)(i)), the International Preliminary Examining Authority shall not
start the international preliminary examination before it has received a
copy of the amendments concerned.

(d) Where the statement concerning amendments contains an indication
that the start of the international preliminary examination is to be
postponed (Rule 53.9(b)), the International Preliminary Examining
Authority shall not start the international preliminary examination
before

(i) it has received a copy of any amendments made under Article 19,

(ii) it has received a notice from the applicant that he does not wish
to make amendments under Article 19, or

(iii) the expiration of 20 months from the priority date,

whichever occurs first.

(e) Where the statement concerning amendments contains an indication
that amendments under Article 34 are submitted with the demand (Rule
53.9(c)) but no such amendments are, in fact, submitted, the
International Preliminary Examining Authority shall not start the
international preliminary examination before it has received the
amendments or before the time limit fixed in the invitation referred to
in Rule 60.1(g) has expired, whichever occurs first.

69.2. Time Limit for International Preliminary Examination

The time limit for establishing the international preliminary
examination report shall be:

(i) 28 months from the priority date, or

(ii) eight months from the date of payment of the fees referred to in
Rules 57.1 and 58.1(a), or

(iii) eight months from the date of receipt by the International
Preliminary Examining Authority of the translation furnished under Rule
55.2, whichever expires last.

PCT Rule 69.2 was amended July 1, 1998.  The time limit for preparing
the International Preliminary Examination Report is 28 months from the
priority date, or 8 months from the date of payment of the fees referred
to in PCT Rules 57.1 and 58.1(a), or 8 months from the date of receipt
by the International Preliminary Examining Authority of the translation
furnished under PCT Rule 55.2, whichever expires first. This time limit
is 27 months internally to ensure sufficient time to process, review and
mail the report in sufficient time to reach the International Bureau by
28 months from the earliest priority date.

---SECTION---1879.02 Transmittal of the International Preliminary
Examination Report Article 36 Transmittal, Translation, and
Communication of the International Preliminary Examination Report

(1) The international preliminary examination report, together with the
prescribed annexes, shall be transmitted to the applicant and to the
International Bureau.

                  +++      Rule 71 Transmittal of the International
Preliminary Examination Report

71.1. Recipients

The International Preliminary Examining Authority shall, on the same
day, transmit one copy of the international preliminary examination
report and its annexes, if any, to the International Bureau, and one
copy to the applicant.

71.2. Copies of Cited Documents

(a) The request under Article 36(4) may be presented any time during
seven years from the international filing date of the international
application to which the report relates.

(b) The International Preliminary Examining Authority may require that
the party (applicant or elected Office) presenting the request pay to it
the cost of preparing and mailing the copies. The level of the cost of
preparing copies shall be provided for in the agreements referred to in
Article 32(2) between the International Preliminary Examining
Authorities and the International Bureau.

(c) 	[Deleted]

(d) Any International Preliminary Examining Authority may perform the
obligations referred to in paragraphs (a) and (b) through another agency
responsible to it.

The International Preliminary Examination Report is transmitted to the
International Bureau using a transmittal Form PCT/IPEA/416. Every effort
is made to ensure that the transmittal is effected in sufficient time to
reach the International Bureau by 28 months from the earliest priority
date.

AUTHORIZED OFFICER

Form PCT/IPEA/416 must be signed by a primary examiner.

---SECTION---1879.03 Translations Article 36 Transmittal, Translation,
and Communication of the International Preliminary Examination Report

                  +++    

(2)(a) The international preliminary examination report and its annexes
shall be translated into the prescribed languages.

(b) Any translation of the said report shall be prepared by or under the
responsibility of the International Bureau, whereas any translation of
the said annexes shall be prepared by the applicant.

                  +++      Rule 72 Translation of the International
Preliminary Examination Report

72.1. Languages

(a) Any elected State may require that the international preliminary
examination report, established in any language other than the official
language, or one of the official languages, of its national Office, be
translated into English.

(b) Any such requirement shall be notified to the International Bureau,
which shall promptly publish it in the Gazette.

72.2. Copy of Translation for the Applicant

The International Bureau shall transmit a copy of the translation
referred to in Rule 72.1(a) of the international preliminary examination
report to the applicant at the same time as it communicates such
translation to the interested elected Office or Offices.

72.3. Observations on the Translation

The applicant may make written observations on what, in his opinion, are
errors of translation in the translation of the international
preliminary examination report and shall send a copy of any such
observations to each of the interested elected Offices and a copy to the
International Bureau.

The International Preliminary Examination Report and any annexes are
established in Chinese, English, French, German, Japanese, Russian or
Spanish, if the international application was filed in one of those
languages, or in English if the international application was filed in
another language. Each elected State may require that the report, if it
is not in (one of) the official language(s) of its national Office, be
translated into English. In that case, the translation of the body of
the report is prepared by International Bureau, which transmits copies
to the applicant and to each interested elected Office. If any elected
Office requires a translation of annexes to the report, the preparation
and furnishing of that translation is the responsibility of the
applicant.

The U.S. requires the final report and the annexes thereto to be in
English. Translation of the annexes for national stage purposes is
required pursuant to  35 U.S.C. 371(c)(5) and  37 CFR 1.495(e). Failure
to timely provide such translation results in cancellation of the
annexes.

---SECTION---1879.04 Confidential Nature of the Report Article 38
Confidential Nature of the International Preliminary Examination

(1) Neither the International Bureau nor the International Preliminary
Examining Authority shall, unless requested or authorized by the
applicant, allow access within the meaning, and with the proviso, of
Article 30(4) to the file of the international preliminary examination
by any person or authority at any time, except by the elected Offices
once the international preliminary examination report has been
established.

(2) Subject to the provisions of paragraph (1) and Articles 36(1) and
(3) and 37(3)(b), neither the International Bureau nor the International
Preliminary Examining Authority shall, unless requested or authorized by
the applicant, give information on the issuance or non-issuance of an
international preliminary examination report and on the withdrawal or
non-withdrawal of the demand or of any election.

---SECTION---1880 Withdrawal of Demand or Election Article 37 Withdrawal
of Demand or Election

(1) The applicant may withdraw any or all elections.

(2) If the election of all elected States is withdrawn, the demand shall
be considered withdrawn.

(3)(a) Any withdrawal shall be notified to the International Bureau.

(b) The elected Offices concerned and the International Preliminary
Examining Authority concerned shall be notified accordingly by the
International Bureau.

(4)(a) Subject to the provisions of subparagraph (b), withdrawal of the
demand or of the election of a Contracting State shall, unless the
national law of that State provides otherwise, be considered to be
withdrawal of the international application as far as that State is
concerned.

(b) Withdrawal of the demand or of the election shall not be considered
to be withdrawal of the international application if such withdrawal is
effected prior to the expiration of the applicable time limit under
Article 22; however, any Contracting State may provide in its national
law that the aforesaid shall apply only if its national Office has
received, within the said time limit, a copy of the international
application, together with a translation (as prescribed), and the
national fee. Rule 90bis Withdrawals

                  +++    

90bis.4. Withdrawal of the Demand, or of Elections

(a) The applicant may withdraw the demand or any or all elections at any
time prior to the expiration of 30 months from the priority date.

(b) Withdrawal shall be effective upon receipt of a notice addressed by
the applicant to the International Bureau.

(c) If the notice of withdrawal is submitted by the applicant to the
International Preliminary Examining Authority, that Authority shall mark
the date of receipt on the notice and transmit it promptly to the
International Bureau. The notice shall be considered to have been
submitted to the International Bureau on the date marked.

                  +++      Administrative Instructions Section 606
Cancellation of Elections

The International Preliminary Examining Authority shall, if the election
is in the demand, cancel ex officio the election of any State which is
not a designated State or which is not bound by Chapter II of the
Treaty, shall enclose that election within square brackets, shall draw a
line between the square brackets while still leaving the election
legible and shall enter, in the margin, the words "CANCELLED EX OFFICIO
BY IPEA" or their equivalent in the language of the demand, and shall
notify the applicant accordingly.

Any withdrawal of the Demand or any election must be sent to the
International Bureau. Withdrawal, if timely, is effective upon receipt
by the International Bureau.

---SECTION---1881 Receipt of Notice of Election by the Patent and
Trademark Office Rule 61 Notification of the Demand and Elections

                  +++    

61.2. Notification to the Elected Offices

(a) The notification provided for in Article 31(7) shall be effected by
the International Bureau.

(b) The notification shall indicate the number and filing date of the
international application, the name of the applicant, the filing date of
the application whose priority is claimed (where priority is claimed),
the date of receipt by the International Preliminary Examining Authority
of the demand, and - in the case of a later election- the date of
receipt of the notice effecting the later election.  The latter date
shall be the actual date of receipt by the International Bureau or,
where applicable, the date referred to in Rule 56.1(f) or 60.2(b).

(c) The notification shall be sent to the elected Office together with
the communication provided for in Article 20.  Elections effected after
such communication shall be notified promptly after they have been made.

(d) Where the applicant makes an express request to an elected Office
under Article 40(2) before the communication provided for in Article 20
has taken place, the International Bureau shall, upon request of the
applicant or the elected Office, promptly effect that communication to
that Office.

61.3. Information for the Applicant

The International Bureau shall inform the applicant in writing of the
notification referred to in Rule 61.2 and of the elected Offices
notified under Article 31(7).

                  +++    

All notices of election are received by the PCT International Division
from the International Bureau. The PCT International Division prepares
the appropriate records of the election and places the paper in storage
with the communicated copy of the international application until the
national stage is entered.

---SECTION---1890 Receipt of Notice of Designation

After publication of the international application, between about 18 and
19 months from the priority date, the International Bureau notifies each
national Office that it has been designated and at the same time
forwards to each designated Office a copy of the international
application, a copy of the search report (an English translation is sent
to the U.S. if the search report was not in English), a copy of any
amendment under PCT Article 19, and a copy of any priority document (PCT
Rule 47).  Thus, the U.S. as a designated Office first becomes aware of
the fact of its designation at about 18 to 19 months from the priority
date and may begin a national stage application file from the papers
forwarded by the International Bureau. See PCT Rule 24.2(b). Contracting
States have the option of being notified of their designation earlier.
The U.S. did not choose to be notified earlier.

The national stage papers sent by the International Bureau are received
in the Designated/Elected Office (DO/EO) Section of the International
Division of the USPTO. The papers are matched with applicant's
submission for entry into the national stage in the U.S. and together
make up the U.S. national stage application file. The DO/EO checks the
national stage papers to be sure all necessary parts have been received
from applicant and from the International Bureau. When the application
is complete, a notice of acceptance is mailed to applicant and the
application is forwarded to the Office of Initial Patent Examination for
mailing of a filing receipt and final processing before forwarding to
the appropriate examining group.

---SECTION---1891 Receipt of Notice of Election and Preliminary
Examination Report

If the U.S. is elected in a Demand for preliminary examination prior to
19 months from the priority date, applicant may postpone the steps
needed for entry into the national stage from 20 to 30 months from the
priority date. The USPTO will hold the national stage papers sent by the
International Bureau awaiting applicant's submissions for entry into the
national stage. The international application is examined and the
results (the International Preliminary Examination Report) are received
by the USPTO for inclusion into the national stage file. The examination
report is communicated to the elected Offices by the International
Bureau.

The notice of election is communicated to the elected Office along with
the PCT Article 20 communication or as soon thereafter as the
International Bureau receives notice of the election. Election of a
Contracting State, of course, is not possible unless that state was
designated.

---SECTION---1893 National Stage (U.S. National Application Filed Under 
35 U.S.C. 371)

37 CFR 1.9(a) states,

(a)(1) A national application as used in this chapter means a U.S.
application for patent which was either filed in the Office under  35
U.S.C. 111, or which entered the national stage from an international
application after compliance with  35 U.S.C. 371.

(2) A provisional application as used in this chapter means a U.S.
national application for patent filed in the Office under  35 U.S.C.
111(b).

(3) A nonprovisional application as used in this chapter means a U.S.
national application for patent which was either filed in the Office
under  35 U.S.C. 111(a), or which entered the national stage from an
international application after compliance with  35 U.S.C. 371.

Thus, there are three types of U.S. national applications: a national
stage application under the PCT (filed under  35 U.S.C. 371), a regular
domestic national application filed under  35 U.S.C. 111(a), and a
provisional application filed under  35 U.S.C. 111(b).

An applicant who uses the Patent Cooperation Treaty gains the benefit of

(A) a delay in the time when papers must be submitted to the national
offices;

(B) an international search (to judge the level of the relevant prior
art) before having to expend resources for filing fees, translations and
other costs;

(C) a delay in the expenditure of fees;

(D) additional time for research;

(E) additional time to evaluate financial, marketing, commercial and
other considerations.

The time delay is, however, the benefit most often recognized as
primary. Ultimately, applicant might choose to submit the national stage
application. The national stage is unique compared to a domestic
national application in that

(A) it is submitted later (i.e., normally 20 or 30 months or more from a
claimed priority date as compared to 12 months for a domestic
application claiming priority).

(B) the status of the prior art is generally known before the national
stage begins and this is not necessarily so in a domestic national
application.

(C) any patent issuing on the basis of the national stage application
may be used as a reference from its  35 U.S.C. 102(e) date, i.e., it has
a prior art effect from its  35 U.S.C. 102(e) date.

Since the Treaty does not preclude establishing a date for prior art
purposes which is or can be as early as the international filing date
(i.e., by paying the basic fee, providing a copy of the application, any
translation thereof, and an oath or declaration at time of filing the
international application), the national stage seems to offer benefits
that make its use desirable.

IDENTIFICATION OF THE NATIONAL STAGE APPLICATION

Once the national stage application has been accorded an application
number (the two digit series code followed by a six digit serial
number), that number as well as the international application number
should be used whenever papers or other communications are directed to
the PTO regarding the national stage application. The national stage
application is tracked through the PALM locator system by the eight
digit U.S. application number. Therefore, processing is expedited if the
U.S. application number is indicated. The international application
number is helpful for identification purposes and can be used to
cross-check a possibly erroneous U.S. application number. Of course, the
international filing date and the national stage entry date under  35
U.S.C. 371 should also be provided.  See  37 CFR 1.5(a).

---SECTION---1893.01 Commencement and Entry

35 U.S.C. 371 National stage: Commencement.

(a) Receipt from the International Bureau of copies of international
applications with any amendments to the claims, international search
reports, and international preliminary examination reports including any
annexes thereto may be required in the case of international
applications designating or electing the United States.

(b) Subject to subsection (f) of this section, the national stage shall
commence with the expiration of the applicable time limit under article
22 (1) or (2), or under article 39(1)(a) of the treaty.

(c) The applicant shall file in the Patent and Trademark Office 

(1) the national fee provided in section 41(a) of this title;

(2) a copy of the international application, unless not required under
subsection (a) of this section or already communicated by the
International Bureau, and a translation into the English language of the
international application, if it was filed in another language;

(3) amendments, if any, to the claims in the international application,
made under article 19 of the treaty, unless such amendments have been
communicated to the Patent and Trademark Office by the International
Bureau, and a translation into the English language if such amendments
were made in another language;

(4) an oath or declaration of the inventor (or other person authorized
under chapter 11 of this title) complying with the requirements of
section 115 of this title and with regulations prescribed for oaths or
declarations of applicants;

(5) a translation into the English language of any annexes to the
international preliminary examination report, if such annexes were made
in another language.

(d) The requirements with respect to the national fee referred to in
subsection (c)(1), the translation referred to in subsection (c)(2), and
the oath or declaration referred to in subsection (c)(4) of this section
shall be complied with by the date of the commencement of the national
stage or by such later time as may be fixed by the Commissioner. The
copy of the international application referred to in subsection (c)(2)
shall be submitted by the date of the commencement of the national
stage. Failure to comply with these requirements shall be regarded as
abandonment of the application by the parties thereof,  unless it be
shown to the satisfaction of the Commissioner that such failure to
comply was unavoidable. The payment of a surcharge may be required as a
condition of accepting the national fee referred to in subsection (c)(1)
or the oath or declaration referred to in subsection (c)(4) of this
section if these requirements are not met by the date of the
commencement of the national stage. The requirements of sub section
(c)(3) of this section shall be complied with by the date of the
commencement of the national stage, and failure to do so shall be
regarded as a cancellation of the amendments to the claims in the
international application made under article 19 of the treaty. The
requirement of subsection (c)(5) shall be complied with at such time as
may be fixed by the Commissioner and failure to do so shall be regarded
as cancellation of the amendments made under article 4(2)(b) of the
treaty.

(e) After an international application has entered the national stage, 
no patent may be granted or refused thereon before the expiration of the
applicable time limit under article 28 or article 41 of the treaty,
except with the express consent of the applicant. The applicant may
present amendments to the specification, claims and drawings of the
application after the national stage has commenced.

(f) At the express request of the applicant, the national stage of
processing may be commenced at any time at which the application is in
order for such purpose and the applicable requirements of subsection (c)
of this section have been complied with.

37 CFR 1.491 Entry into the national stage.

An international application enters the national stage when the
applicant has filed the documents and fees required by  35 U.S.C. 371(c)
within the periods set in Section  1.494 or Section  1.495.

Commencement of the national stage occurs upon expiration of the time
limit, as stated in  35 U.S.C. 371(b).

Entry into the national stage occurs upon completion of certain acts, as
stated in  37 CFR 1.491.

---SECTION---1893.01(a) Entry via the U.S. Designated Office

37 CFR 1.494 Entering the national stage in the United States of America
as a Designated Office.

(a) Where the United States of America has not been elected by the
expiration of 19 months from the priority date (see Section  1.495), the
applicant must fulfill the requirements of PCT Article 22 and  35 U.S.C.
371 within the time periods set forth in paragraphs (b) and (c) of this
section in order to prevent the abandonment of the international
application as to the United States of America. International
applications for which those requirements are timely fulfilled will
enter the national stage and obtain an examination as to the
patentability of the invention in the United States of America.

(b) To avoid abandonment of the application, the applicant shall furnish
to the United States Patent and Trademark Office not later than the
expiration of 20 months from the priority date:

(1) A copy of the international application, unless it has been
previously communicated by the International Bureau or unless it was
originally filed in the United States Patent and Trademark Office; and

(2) The basic national fee (see Section  1.492(a)). The 20-month time
limit may not be extended.

(c) If applicant complies with paragraph (b) of this section before
expiration of 20 months from the priority date but omits:

(1) A translation of the international application, as filed, into the
English language, if it was originally filed in another language (35
U.S.C. 371(c)(2)); and/or

(2) The oath or declaration of the inventor (35 U.S.C. 371(c)(4); see
Section  1.497), applicant will be so notified and given a period of
time within which to file the translation and/or oath or declaration in
order to prevent abandonment of the application. The payment of the
processing fee set forth in Section  1.492(f) is required for acceptance
of an English translation later than the expiration of 20 months after
the priority date. The payment of the surcharge set forth in Section 
1.492(e) is required for acceptance of the oath or declaration of the
inventor later than the expiration of 20 months after the priority date. 
A "Sequence Listing" need not be translated if the "Sequence Listing"
complies with PCT Rule 12.1(d) and the description complies with PCT
Rule 5.2(b).

(d) A copy of any amendments to the claims made under PCT Article 19,
and a translation of those amendments into English, if they were made in
another language, must be furnished not later than the expiration of 20
months from the priority date. Amendments under PCT Article 19 which are
not received by the expiration of 20 months from the priority date will
be considered to be cancelled. The 20-month time limit may not be
extended.

(e) Verification of the translation of the international application or
any other document pertaining to an international application may be
required where it is considered necessary, if the international
application or other document was filed in a language other than
English.

(f) The documents and fees submitted under paragraphs (b) and (c) of
this section must be clearly identified as a submission to enter the
national stage under  35 U.S.C. 371, otherwise the submission will be
considered as being made under  35 U.S.C. 111.

(g) An international application becomes abandoned as to the United
States 20 months from the priority date if the requirements of paragraph
(b) of this section have not been complied with within 20 months from
the priority date where the United States has been designated but not
elected by the expiration of 19 months from the priority date. If the
requirements of paragraph (b) of this section are complied with within
20 months from the priority date but any required translation of the
international application as filed and/or the oath or declaration are
not timely filed, an international application will become abandoned as
to the United States upon expiration of the time period set pursuant to
paragraph (c) of this section.

An international application designating the U.S. will enter the
national stage via the U.S. Designated Office unless a Demand electing
the U.S. is filed prior to the expiration of 19 months from the priority
date whereupon entry will be via the U.S. Elected Office.  The procedure
for entry via the U.S. Designated Office is as prescribed in  37 CFR
1.494.

---SECTION---1893.01(a)(1) Submissions Required by 20 Months From the
Priority Date

To begin entry into the national stage, applicant is required to comply
with  37 CFR 1.494(b) within 20 months from the priority date unless
election of the U.S. under Chapter II of the PCT has been made prior to
19 months from the priority date (see MPEP Section  1893.01(b)).  Thus,
applicant must pay the basic national fee on or before 20 months from
the priority date and be sure that a copy of the international
application has been received by the U.S. Designated Office prior to
expiration of 20 months from the priority date. The notice referred to
in PCT Rule 47.1(c) constitutes conclusive evidence of transmission of
the international application. Payment of the basic national fee will
indicate applicant's intention to enter the national stage and will
provide a U.S. correspondence address in most instances.

Facsimile transmission is not acceptable for submission of the basic
national fee and/or the copy of the international application.  See  37
CFR 1.6(d).  Likewise, the certificate of mailing procedures of  37 CFR
1.8 do not apply to the filing of the copy of the international
application and payment of the basic national fee. See  37 CFR
1.8(a)(2)(i)(F).

Applicants cannot pay the basic national fee with a surcharge after the
20 month deadline.  Failure to pay the basic national fee within 20
months from the priority date will result in abandonment of the
application. The time for payment of the basic fee is not extendable.

Similarly, the copy of the international application is required to be
provided within 20 months from the priority date. A copy of the
international application is provided to the U.S. Designated Office by
the International Bureau (the copy is ordinarily received shortly after
publication at about 18 months from the priority date). The
International Bureau also mails a confirmation (Form IB/308) to
applicant upon which applicant can rely that the copy has been provided,
see PCT Rule 47.1(c).  The copy is placed in a file to await applicant's
submission of the basic national fee and other national stage
requirements. 

If the basic national fee has been paid by expiration of 20 months from
the priority date, but the required oath, declaration or translation has
not been filed within 20 months from the priority date, as appropriate,
the Office will send applicant a notice and provide a period of time to
supply the deficiency as set forth in  37 CFR 1.494(c).  The time period
usually set is 1 month from the date of notification by the Office or 21
months from the priority date, whichever is later. This period may be
extended pursuant to the provisions of  37 CFR 1.136(a). Thus, payment
of the basic national fee on or before 20 months from the priority date
will (1) cause the Office, after a check of the national stage papers at
20 months, to mail a notice identifying any deficiencies and affording
applicant a period for correction of those deficiencies, and (2) as in
national practice under  37 CFR 1.53, enable applicants to extend the
period of time under  37 CFR 1.136(a) for submission of a proper oath,
declaration or translation. The international application enters the
national stage under  35 U.S.C. 371 and  37 CFR 1.491 when the last of
the items indicated in  35 U.S.C. 371(c) is timely received by the
office.

An international application becomes abandoned if the copy of the
international application or the filing fee have not been received by
the U.S. Designated Office prior to expiration of 20 months from the
priority date.  A notification of any missing parts pursuant to  37 CFR
1.494(c) will only be mailed in those instances where the applicant has
paid the basic national fee within 20 months from the priority date.

The notice of missing requirements lists several items which  37 CFR 
1.497(a) and (b) require and all of those items will have to be
satisfied before the oath or declaration is considered accepted.
Similarly, the translation must be a translation of the international
application. A translation of less than all of the international
application (e.g., untranslated words in the drawings or translations of
those untranslated words in a different part of the document) or a
translation that includes modification, e.g., the insertion of headings,
is unacceptable.  "Sequence Listing" need not be translated if the
"Sequence Listing" complies with PCT Rule 12.1(d) and the description
complies with PCT Rule 5.2(b). See Interim rule  37 CFR 1.494(c).

---SECTION---1893.01(a)(2) Article 19 Amendment (Filed With the
International Bureau)

The international application may be amended under Article 19 after
issuance of the search report. The amendment is forwarded to the U. S.
Designated Office by the International Bureau for inclusion in the U.S.
national stage application. Article 19 amendments which were made in
English will be entered by substituting each page of amendment for the
corresponding English language page of claims of the international
application.  If the Article 19 amendments were made in a language other
than English, applicant must provide an English translation for the U.S. 
national stage application.  The English translation of the amendment(s)
must be submitted by 20 months from the priority date, unless the U.S.
was elected by 19 months from the priority date in which case the
English translation must be filed by 30 months, or the amendment(s) will
be considered to be canceled,  35 U.S.C. 371(d). Where applicant elects
to request early processing of the national stage application under  35
U.S.C. 371(f), subsequently received amendments made in the
international stage (and English translations thereof) will not become
part of the U.S. national stage application file.  If such amendments
are desired, they should be offered under  37 CFR 1.121 as a preliminary
amendment or a responsive amendment under  37 CFR 1.111.

Applicants entering the national stage in the U.S. are encouraged to
submit an amendment in accordance with  37 CFR 1.121 rather than an
English translation of an Article 19 amendment. Sometimes when an
Article 19 amendment is translated into English, it cannot be entered.
That is, each page of an Article 19 amendment must be entered by
substituting a page of amendment for the corresponding page of claims of
the international application. After translation of a page, the
translated page may no longer correspond to a page of the claims of the
international application such that the amendment is capable of entry by
substituting the page of English translation (of the amendment) for the
corresponding page of claims of the international application without
leaving an inconsistency. Where applicant chooses to submit an English
translation of the Article 19 amendment, applicant should check to be
sure that the English translation can be entered by substituting the
pages of translation for corresponding pages of the claims of the
international application without leaving an inconsistency.  If entry of
the page of translation causes inconsistencies in the claims of the
international application the translation will not be entered. For
example, if the translation of the originally filed application has a
page which begins with claim 1 and ends with a first part of claim 2
with the remainder of claim 2 on the next page then translation of the
Article 19 amendment to only claim 1 must include a substitute page or
pages beginning with the changes to claim 1 and ending with the last of
the exact same first part of claim 2.  This enables the original
translated first page of claims to be replaced by the translation of the
amendment without changing the subsequent unamended page(s).
Alternatively, applicant may submit a preliminary amendment in
accordance with  37 CFR 1.121.

---SECTION---1893.01(b) Entry via the U.S. Elected Office

37 CFR 1.495 Entering the national stage in the United States of America
as an Elected Office.

(a) Where the United States of America has been elected by the
expiration of 19 months from the priority date, the applicant must
fulfill the requirements of  35 U.S.C. 371 within the time periods set
forth in paragraphs (b) and (c) of this section in order to prevent the
abandonment of the international application as to the United States of
America. International applications for which those requirements are
timely fulfilled will enter the national stage and obtain an examination
as to the patentability of the invention in the United States of
America.

(b) To avoid abandonment of the application, the applicant shall furnish
to the United States Patent and Trademark Office not later than the
expiration of 30 months from the priority date:

(1) A copy of the international application, unless it has been
previously communicated by the International Bureau or unless it was
originally filed in the United States Patent and Trademark Office; and

(2) The basic national fee (see Section  1.492(a)). The 30-month time
limit may not be extended.

(c) If applicant complies with paragraph (b) of this section before
expiration of 30 months from the priority date but omits:

(1) A translation of the international application, as filed, into the
English language, if it was originally filed in another language (35
U.S.C. 371(c)(2)); and/or

(2) The oath or declaration of the inventor (35 U.S.C. 371(c)(4); see
Section  1.497), applicant will be so notified and given a period of
time within which to file the translation and/or oath or declaration in
order to prevent abandonment of the application. The payment of the
processing fee set forth in Section  1.492(f) is required for acceptance
of an English translation later than the expiration of 30 months after
the priority date. The payment of the surcharge set forth in Section 
1.492(e) is required for acceptance of the oath or declaration of the
inventor later than the expiration of 30 months after the priority date. 

A "Sequence Listing" need not be translated if the "Sequence Listing"
complies with PCT Rule 12.1(d) and the description complies with PCT
Rule 5.2(b).

(d) A copy of any amendments to the claims made under PCT Article 19,
and a translation of those amendments into English, if they were made in
another language, must be furnished not later than the expiration of 30
months from the priority date.  Amendments under PCT Article 19 which
are not received by the expiration of 30 months from the priority date
will be considered to be cancelled.  The 30-month time limit may not be
extended.

(e) A translation into English of any annexes to the international
preliminary examination report, if the annexes were made in another
language, must be furnished not later than the expiration of 30 months
from the priority date. Translations of the annexes which are not
received by the expiration of 30 months from the priority date may be
submitted within any period set pursuant to paragraph (c) of this
section accompanied by the processing fee set forth in Section 
1.492(f). Annexes for which translations are not timely received will be
considered cancelled. The 30-month time limit may not be extended.

(f) Verification of the translation of the international application or
any other document pertaining to an international application may be
required where it is considered necessary, if the international
application or other document was filed in a language other than
English.

(g) The documents submitted under paragraphs (b) and (c) of this section
must be clearly identified as a submission to enter the national stage
under  35 U.S.C. 371, otherwise the submission will be considered as
being made under  35 U.S.C. 111.

(h) An international application becomes abandoned as to the United
States 30 months from the priority date if the requirements of paragraph
(b) of this section have not been complied with within 30 months from
the priority date and the United States has been elected by the
expiration of 19 months from the priority date. If the requirements of
paragraph (b) of this section are complied with within 30 months from
the priority date but any required translation of the international
application as filed and/or the oath or declaration are not timely
filed, an international application will become abandoned as to the
United States upon expiration of the time period set pursuant to
paragraph (c) of this section.

An international application designating the U.S. will enter the
national stage via the U.S. Elected Office if a Demand electing the U.S.
is filed prior to the expiration of 19 months from the priority date.
The procedure for entry via the U.S. Elected Office is as prescribed in 
37 CFR 1.495.

---SECTION---1893.01(b)(1) Submissions Required by 30 Months From the
Priority Date

To begin entry into the national stage, where election of the U.S. under
Chapter II of the PCT has been made prior to 19 months from the priority
date, applicant is required to comply with  37 CFR 1.495(b) within 30
months from the priority date. Thus, applicant must pay the basic
national fee on or before 30 months from the priority date and be sure
that a copy of the international application has been received by the
U.S. Designated Office prior to expiration of 30 months from the penalty
date.  The notice referred to in PCT Rule 47.1(c) constitutes conclusive
evidence of transmission of the international application.  Payment of
the basic national fee will indicate applicant's intention to enter the
national stage and will provide a U.S. correspondence address in most
instances.

Facsimile transmission is not acceptable for submission of the basic
national fee and/or the copy of the international application.  See  37
CFR 1.6(d).  Likewise, the certificate of mailing procedures of  37 CFR
1.8 do not apply to the filing of the copy of the international
application and payment of the basic national fee. See  37 CFR
1.8(a)(2)(i)(F).

  Applicants cannot pay the basic national fee with a surcharge after
the 30 months deadline. Failure to pay the basic national fee within 30
months from the priority date will result in abandonment of the
application. The time for payment of the basic fee is not extendable.

  Similarly, the copy of the international application is required to be
provided within 30 months from the priority date. A copy of the
international application is provided to the U.S. Designated Office by
the International Bureau (the copy is ordinarily received shortly after
publication at about 18 months from the priority date).  The
International Bureau also mails a confirmation (Form IB/308) to
applicant upon which applicant can rely that the copy has been provided. 
See PCT Rule 47.1(c).  The copy is placed in a file to await applicant's
submission of the basic national fee and other national stage
requirements.

  If the basic national fee has been paid by expiration of 30 months
from the priority date but the required oath, declaration, or
translation has not been filed within 30 months from the priority date,
as appropriate, the Office will send applicant a notice and provide a
period of time to supply the deficiency as set forth in  37 CFR
1.495(c).  The time period usually set is 1 month from the date of the
notification by the Office or 31 months from the priority date,
whichever is later. This period may be extended pursuant to the
provisions of  37 CFR 1.136(a). Thus, payment of the basic national fee
on or before 30 months from the priority date will (1) cause the Office,
after a check of the national stage papers at 30 months, to mail a
notice identifying any deficiencies and affording applicant a period for
correction of those deficiencies, and (2) as in national practice under 
37 CFR 1.53, enable applicants to extend the period of time under  37
CFR 1.136(a) for submission of a proper oath, declaration, or
translation. The international application enters the national stage
under  35 U.S.C. 371 when the last of the items indicated in  35 U.S.C.
371(c) and  37 CFR 1.491 is timely received by the office.

An international application becomes abandoned if the copy of the
international application or the basic national fee has not been
received by the U.S. Designated Office prior to expiration of 30 months
from the priority date. A notification of any missing requirements
pursuant to  37 CFR 1.495 will only be mailed in those instances where
the applicant has paid the basic national fee within 30 months from the
priority date.

The notice of missing requirements lists several items which  37 CFR
1.497(a) and (b) require and all of those items will have to be
satisfied before the oath or declaration is considered accepted.
Similarly, the translation must be a translation of the international
application. A translation of less than all of the international
application (e.g., untranslated words in the drawings or translations of
those untranslated words in a different part of the document) or a
translation that includes modifications, e.g., the insertion of
headings, is unacceptable.  "Sequence Listing" need not be translated if
the "Sequence Listing" complies with PCT Rule 12.1(d) and the
description complies with PCT Rule 5.2(b).  See Interim rule  37 CFR
1.495(c).

---SECTION---1893.01(b)(2) Article 19 and Article 34  Amendments (Filed
With the International Preliminary Examining Authority)

Paragraph (d) of  37 CFR 1.495 states that if an Article 19 amendment is
not received before expiration of 30 months from the priority date, it
is considered to be canceled.  Nevertheless, applicant may submit a
preliminary amendment in accordance with  37 CFR 1.121 adding the
substance of the Article 19 amendment to the national stage application. 
In some instances, entry of the subject matter via an amendment under 
37 CFR 1.121 may be preferable to entry via Article 19. For example,
where the Article 19 amendment was not filed in English the amendment
would have to be translated into English in order that it be submitted
for entry into the national stage. The translation must be submitted
before expiration of 30 months from the priority date and the substitute
pages must be capable of insertion into the text of the international
application. Thus, where an Article 19 amendment was made in the
international stage the same amendment may be entered for the national
stage either in accordance with  35 U.S.C. 371(c)(3) or the amendments
may be added via a preliminary amendment in accordance with  37 CFR
1.121.

TRANSLATION OF AN ANNEX TO THE INTERNATIONAL PRELIMINARY EXAMINATION
REPORT

The translation of an Annex to the international preliminary examination
report must be submitted so that the translation of the originally filed
application can be changed by replacing the originally filed application
page(s) (of translation) with substitute page(s) of translation of the
annex.  For example, if the translation of the originally filed
application has a page which begins with claim 1 and ends with a first
part of claim 2 with the remainder of claim 2 on the next page then
translation of the annex to only claim 1 must include a substitute page
or pages beginning with the changes to claim 1 and ending with the last
of the exact same first part of claim 2. This enables the original
translated first page of claims to be replaced by the translation of the
annex without changing the subsequent unamended page(s). Alternatively
applicant may submit a preliminary amendment in accordance with  37 CFR
1.121.

---SECTION---1893.01(c) Fees

Because the national stage fees are subject to change, applicants and
examiners should always consult the   Official Gazette for the current
fee listing.

Applicants are cautioned that national stage fees are specifically
provided for in  37 CFR 1.492 and authorizations to charge fees under 
37 CFR 1.16 do not constitute a specific authorization to charge
national stage fees.

---SECTION---1893.01(d) Translation

Applicants entering the national stage in the U.S. are required to file
a translation of the international application (if the international
application was filed in another language).  35 U.S.C. 371(c)(2). 
"Sequence Listing" need not be translated if the "Sequence Listing"
complies with PCT Rule 12.1(d) and the description complies with PCT
Rule 5.2(b).  See Interim rule  37 CFR 1.495(c).  The translation must
be a translation of the international application as filed with any
changes which have been properly accepted under PCT Rule 26 or any
rectifications which have been properly accepted under PCT Rule 91.
Amendments, even those considered to be minor or to not include new
matter, may not be incorporated into the translation. If an amendment to
the international application as filed is desired for the national
stage, it may be submitted in accordance with  37 CFR 1.121.  An
amendment filed under  37 CFR 1.121 should be submitted within 1 month
after completion of the  35 U.S.C. 371(c) requirements and entry into
the national stage. See  37 CFR 1.496(a).  If applicant has timely paid
the basic national fee but the translation is missing or is defective, a
notice of Missing Requirements will be sent to applicant setting a
period to correct any missing or defective requirements. The time period
is 21 months or 31 months from the priority date, as appropriate, or 1
month from the date of the notice, whichever expires later. The time
period is subject to the provisions of  37 CFR 1.136(a).

---SECTION---1893.01(e) Oath/Declaration

37 CFR 1.497 Oath or declaration under 35 U.S.C. 371(c)(4).

(a) When an applicant of an international application desires to enter
the national stage under  35 U.S.C. 371 pursuant to Section Section 
1.494 or 1.495, he or she must file an oath or declaration that:

(1) Is executed in accordance with either Section Section  1.66 or 1.68;

(2) Identifies the specification to which it is directed;

(3) Identifies each inventor and the country of citizenship of each
inventor; and

(4) States that the person making the oath or declaration believes the
named inventor or inventors to be the original and first inventor or
inventors of the subject matter which is claimed and for which a patent
is sought.

(b)(1) The oath or declaration must be made by all of the actual
inventors except as provided for in Section Section  1.42, 1.43 or 1.47.

(2) If the person making the oath or declaration is not the inventor,
the oath or declaration shall state the relationship of the person to
the inventor, the facts required by Section Section  1.42, 1.43 or 1.47,
and, upon information and belief, the facts which the inventor would
have been required to state.

(c) If the oath or declaration meets the requirements of paragraphs (a)
and (b) of this section, the oath or declaration will be accepted as
complying with  35 U.S.C. 371(c)(4) and Section Section  1.494(c) or
1.495(c).  However, if the oath or declaration does not also meet the
requirements of Section  1.63, a supplemental oath or declaration in
compliance with Section  1.63 will be required in accordance with
Section  1.67.

Applicants entering the national stage in the U.S. are required to file
an oath or declaration of the inventor in accordance with  37 CFR
1.497(a) and (b). If the basic national fee has been paid by the
expiration of 20 or 30 months from the priority date as appropriate, but
the required oath or declaration has not been filed, the Office will
send applicant a notice of Missing Requirements setting a time period to
correct any missing or defective requirements. The time period is 21
months or 31 months from the priority date, as appropriate, or 1 month
from the date of the notice, whichever expires later. The time period is
subject to the provisions of  37 CFR 1.136(a). The oath or declaration
must comply with the requirements of  35 U.S.C. 115 and with the
regulations prescribed for oaths and declarations. See especially  37
CFR 1.497(a) and (b). Further, pursuant to  37 CFR 1.497(c), to avoid
the need to submit a supplemental oath or declaration, the oath or
declaration must comply with  37 CFR 1.63.

If an inventor refuses to execute the oath or declaration or is
unavailable, applicant must file an oath or declaration and a petition
in accordance with  37 CFR 1.47.  Similarly, where an inventor is
deceased or legally incapacitated, an oath or declaration in accordance
with the provisions of  37 CFR 1.42 or 1.43 must be provided. To avoid
abandonment the oath or declaration and petition (under  37 CFR 1.42,
1.43 and/or 1.47, as appropriate) must be filed either before expiration
of 20 or 30 months from the priority date, as appropriate, or, where a
notification of deficiency of the oath/declaration has been mailed,
within the time for reply to that notification.

If applicant has filed an oath or declaration and petition under  37 CFR
1.42, but has not provided proof of authority of the legal
representative as required by  37 CFR 1.44, the application papers will
be provisionally accepted for entry into the national stage and
forwarded for further processing and examination on the merits. However,
if sufficient proof of authority of the person(s) signing as legal
representative of the deceased inventor is not provided before mailing
of the notice of allowance, the application should be forwarded to the
PCT Legal Office. If proof of authority is not filed, the application
will be held not to have entered the national stage for failure to
provide an oath or declaration as required by  35 U.S.C. 371(c)(4) and
will be held abandoned in accordance with  37 CFR 1.494(g) or 1.495(h).
Under such circumstances the date of abandonment will be the date of
expiration of 20 months from the priority date or, where a notification
of deficiency of the oath/declaration has been mailed, the date of
expiration of the time for reply to that notification or as extended by
any extension fee timely paid under  37 CFR 1.136(a).

---SECTION---1893.02 Abandonment

If the requirements of  35 U.S.C. 371(c) are not complied with by the
time period set in  37 CFR 1.494(b) and (c) or  37 CFR 1.495(b) and (c),
as appropriate, the application is considered to be abandoned, see  37
CFR 1.494(g) and  37 CFR 1.495(h).

Examiners and applicants should be aware that sometimes papers filed for
the national stage are deficient and abandonment results. For example,
if the fee submitted does not include at least the amount of the basic
national fee that is due, the application becomes abandoned.

Applicant may file a petition to revive an abandoned application in
accordance with the provisions of  37 CFR 1.137.  See MPEP Section 
711.03(c).

---SECTION---1893.03 Prosecution of U.S. National Stage Applications
Before the Examiner

An international application which enters the national stage will be
forwarded to the appropriate examining group for examination in turn
based on the  35 U.S.C. 371(c) date of the application. Once the
application is forwarded to the examiner, prosecution proceeds in the
same manner as for a domestic application with the exceptions that (1)
the international filing date is the date to keep in mind when searching
the prior art and (2) unity of invention proceeds as under  37 CFR
1.475.

---SECTION---1893.03(a) How To Identify That an Application Is a U.S.
National Stage Application

Applicant's initially deposited application must indicate that treatment
as a national stage application (filed under  35 U.S.C. 371) is
requested (see  37 CFR 1.494(f) and  37 CFR 1.495(g)).  Otherwise, the
application will be treated as an application filed under  35 U.S.C.
111(a).

That is, if applicant wishes the application to be filed under  35
U.S.C. 111(a), applicant's originally filed application papers need
indicate simply that the papers are for a new U.S. patent application. 
If, however, applicant is filing papers for entry into the national
stage of a PCT application, applicant must so state.  37 CFR 1.494(f)
and 1.495(g) require that applicant's application papers must be clearly
identified as a submission to enter the national stage under  35 U.S.C.
371; otherwise the submission will be considered as being made under  35
U.S.C. 111(a). Examination of the originally filed application papers
occurs in either the Office of Initial Patent Examination or in the
National Stage Processing Division of the Office of PCT Operations where
it is determined whether applicant has asked that the papers be treated
as a national stage filing under  35 U.S.C. 371. If the application is
accepted for entry into the national stage, the National Stage
Processing Division will fill out and mail Form PCT/DO/EO/903 indicating
acceptance of the application as a national stage filing under  35
U.S.C. 371 and will stamp the face of the file with an indication that
the application is filed under  35 U.S.C. 371. Accordingly, the three
key indicators which reflect that an application is filed under  35
U.S.C. 371 are

(A) The file face indication of a filing under  35 U.S.C. 371;

(B) The Form PCT/DO/EO/903 indicating acceptance of the application as a
national stage filing under  35 U.S.C. 371; and

(C) Applicant's statement (or the equivalent) in the originally filed
application papers that the application is a national stage filing under 
35 U.S.C. 371. Applicants who use transmittal Form PCT/DO/EO/1390 will
satisfy the requirement for such a statement since the form includes an
indication that the application is a national stage filing under  35
U.S.C. 371.

Initially, the examiner should inspect the face of the file wrapper
and/or the PALM bib-data sheet for an indication that it is filed under 
35 U.S.C. 371 and should also check the application papers for the
presence of Form PCT/DO/EO/903. If neither of these indications are
present the application may, in the absence of evidence to the contrary
(there is an indication in the originally filed application papers that
processing as a national stage is desired), be treated as a filing under 
35 U.S.C. 111(a). Thus, if both indications are present, the application
should be treated as a filing under  35 U.S.C. 371.  If the face of the
file wrapper does not indicate a filing under  35 U.S.C. 371, but a
properly completed Form PCT/DO/EO/903 is in the file, the examiner
should complete the face of the file by adding "filed under  35 U.S.C.
371"  in the upper left margin thereof. The examiner should initial and
date this change. If the file wrapper does not include a properly
completed Form PCT/DO/EO/903 but the face of the file indicates a filing
under  35 U.S.C. 371, the application should be returned to the National
Stage Processing Division of the Office of PCT Operations for
certification that the application has been accepted for the national
stage.

In accordance with the notice at 1077 O.G. 13 (14 April 1987), if the
applicant files a U.S. national application and clearly identifies in
the accompanying oath or declaration the specification to which it is
directed by referring to a particular international application by PCT
Application Number and International Filing Date and that he or she is
executing the declaration as, and seeking a U.S. Patent as, the inventor
of the invention described in the identified international application,
then the application will be accepted as filed under  35 U.S.C. 371.
Merely claiming priority of an international (PCT) application in an
oath or declaration will not serve to indicate a filing under  35 U.S.C.
371. Also, if there are any conflicting instructions as to whether the
filing is under  35 U.S.C. 111(a) or  35 U.S.C. 371, the application
will be accepted as filed under  35 U.S.C. 111(a).

Form PCT Filed Under 35 USC 371[GRAPHIC]

Form PCT/DO/DO/903. Notification Of Acceptance Of Application Under 35
U.s.c. 371 And 37 Cfr 1.494 Or 1.495[GRAPHIC]

---SECTION---1893.03(b) The Filing Date of a U.S. National Stage
Application

An international application designating the U.S. has two stages
(international and national) with the filing date being the same in both
stages.  Often the date of entry into the national stage is confused
with the filing date.  It should be borne in mind that the filing date
of the international stage application is also the filing date for the
national stage application.  Specifically,  35 U.S.C. 363  provides that

An international application designating the United States shall have
the effect, from its international filing date under Article 11 of the
treaty, of a national application for patent regularly filed in the
Patent and Trademark Office except as otherwise provided in section
102(e) of this title.

Similarly, PCT Article 11(3) provides that

...an international filing date shall have the effect of a regular
national application in each designated State as of the international
filing date, which date shall be considered to be the actual filing date
in each designated State.

37 CFR 1.496(a), first sentence, reads "International applications which
have complied with the requirements of  35 U.S.C. 371(c) will be taken
up for action based on the date on which such requirements were met." 
Thus, when the file wrapper label or PALM bib-data sheet is printed, the
information is read from the PALM data base and the information printed
in the filing date box is the date of entry into the national stage
rather than the actual international filing date. See in the preceding
section the sample National Stage Filing Under  35 U.S.C. 371 wherein
the face of the file of national stage application number 07/XXX,XXX is
shown with the date of entry into the national stage (11/08/91) shown in
the FILING DATE box and the true U.S. filing date (01/10/90) is
indicated just to the right of the international application number
(PCT/EP90/XXXXX) in the FOREIGN/PCT APPLICATIONS block.

Applicants are quite often confused as to the true filing date and will
ask for corrected filing receipts thinking that the information thereon
is wrong.  This explanation should offer some clarity. For all legal
purposes, the filing date is the PCT international filing date. The date
of actual entry into the national stage is otherwise the date provided
in the PALM system. Any issued patent will have all of the relevant
dates listed.

---SECTION---1893.03(c) The Priority Date, Priority Claim, and Priority
Papers for a U.S. National Stage Application

A U.S. national stage application (filed under  35 U.S.C. 371) may
include a claim under  35 U.S.C. 119 (a)  or 120 for benefit of the
filing date of a prior application or applications.  See also  35 U.S.C.
365.

PRIORITY CLAIM UNDER 35 U.S.C. 119(a)

A national stage application which includes a priority claim under  35
U.S.C. 119(a) must refer to a priority application the priority of which
was also claimed in the international application. If the  35 U.S.C.
119(a) priority claim is to an application the priority of which was
properly claimed in the international application, the claim for
priority is acknowledged and the national stage application file is
checked to see if the file contains a copy of the certified copy of the
priority document submitted to the International Bureau.

If the  35 U.S.C. 119(a) priority claim in the national stage
application is to an application the priority of which was not claimed
in the international application, the claim for priority must be denied
for failing to meet the requirements of the Patent Cooperation Treaty,
specifically PCT Rule 4.10.

For a comparison with  35 U.S.C. 119(a)-(d) priority claims in a
national application filed under  35 U.S.C. 111(a) see MPEP Section 
1895.01.

THE CERTIFIED COPY

The requirement for a certified copy of the foreign priority application
is normally fulfilled by applicant providing a certified copy to the
Receiving Office or to the International Bureau within 16 months from
the priority date and subsequently, the International Bureau forwarding
a photocopy of the certified priority document when it forwards a copy
of the international application (shortly after publication at 18 months
from the priority date) to each Designated Office. The copy from the
International Bureau is placed in the U.S. national stage file. The
International Bureau stamps the face of the photocopy of the certified
priority document with an indication that the certified priority
document was received at the International Bureau.  The stamped copy of
the priority document sent to the U.S. Office of PCT Operations from the
International Bureau is acceptable to establish that applicant has filed
a certified copy of the priority document. The examiner should
acknowledge in the next Office action that the certified copy of the
foreign priority document has been filed. Note the example of an
acceptable priority document with the stamp (box) in the upper right
hand section indicating receipt by the International Bureau (WIPO) on 30
November 1992 and the stamped term "PRIORITY DOCUMENT''.

[GRAPHIC]

If applicant has not forwarded a certified copy of the priority
application in time for the International Bureau to forward it to the
U.S. Designated Office with the copy of the international application,
then applicant will have to provide a certified copy of the priority
document during the national stage to fulfill the requirement of Article
4 of the Paris Convention.

PRIORITY CLAIM UNDER 35 U.S.C. 120

A national stage application may include a priority claim under  35
U.S.C. 120 to a prior U.S. national application or to a prior
international application designating the U.S.  The conditions for
according benefit under  35 U.S.C. 120 are as described in MPEP Section 
201.07,  Section  201.08, and Section  201.11 and are similar regardless
of whether the U.S. national application is a national stage application
filed under  35 U.S.C. 371 or a national application filed under  35
U.S.C. 111(a).

For a national stage application (of international application "X'') to
obtain benefit under  35 U.S.C. 120 of a prior U.S. national
application, the international application ("X") must include an
appropriate reference to the prior U.S. national application, be
copending with the prior U.S. national application, and have at least
one inventor in common with the prior U.S. national application.  See
MPEP Section  201.11. The prior U.S. national application is copending
with the national stage application if the prior U.S. national
application was pending on the international filing date.

If a national stage application includes a priority claim under  35
U.S.C. 120 to a prior international application, the examiner must
ascertain whether (1) the first international application was copending
(not abandoned or withdrawn) with the second international application
claiming benefit under  35 U.S.C. 120, and (2) the prior international
application designated the U.S.

Note: a national stage application filed under  35 U.S.C. 371 may not
claim benefit of the filing date of the international application of
which it is the national stage since its filing date is the date of
filing of that international application. See also    MPEP Section 
1893.03(b).  Stated differently, since the international application is
not an earlier application (it has the same filing date as the national
stage), a priority claim in the national stage to the international
application is inappropriate. Accordingly, it is not necessary for the
applicant to amend the first sentence of the specification to reference
the international application for a national stage application filed
under  35 U.S.C. 371.

For a comparison with  35 U.S.C. 120 priority claims in a national
application filed under  35 U.S.C. 111(a), see MPEP Section  1895.

---SECTION---1893.03(d) Unity of Invention

37 CFR 1.499 Unity of invention during the national stage

If the examiner find that a national stage application lacks unity of
invention under Section  1.475, the examiner may in an Office action
require the applicant in the response to that action to elect the
invention to which the claims shall be restricted. Such requirement may
be made before any action on the merits but may be made at any time
before the final action at the discretion of the examiner. Review of any
such requirement is provided under Section Section  1.143 and 1.144.

PCT Rule 13 was amended effective July 1, 1992.  37 CFR 1.475 was
amended effective May 1, 1993 to correspond to PCT Rule 13.

Examiners are reminded that unity of invention (not restriction)
practice is applicable in international applications (both Chapter I and
II) and in national stage (filed under  35 U.S.C. 371) applications.
Restriction practice continues to apply to U.S. national applications
filed under  35 U.S.C. 111(a).

When making a lack of unity of invention requirement, the examiner must
(1) list the different groups of claims and (2) explain why each group
lacks unity with each other group (i.e., why there is no single general
inventive concept) specifically describing the unique special technical
feature in each group.

The principles of unity of invention are used to determine the types of
claimed subject matter and the combinations of claims to different
categories of invention that are permitted to be included in a single
international or national stage patent application. The basic principle
is that an application should relate to only one invention or,  if there
is more than one invention, that applicant would have a right to include
in a single application only those inventions which are so linked as to
form a single general inventive concept.

A group of inventions is considered linked to form a single general
inventive concept where there is a technical relationship among the
inventions that involves at least one common or corresponding special
technical feature. The expression special technical features is defined
as meaning those technical features that define the contribution which
each claimed invention, considered as a whole, makes over the prior art. 
For example, a corresponding technical feature is exemplified by a key
defined by certain claimed structural characteristics which correspond
to the claimed features of a lock to be used with the claimed key.  Note
also examples 1-17 of Annex B Part 2 of the PCT Administrative
Instructions as amended July 1, 1992 contained in Appendix AI of the
MPEP.

  A process is "specially adapted" for the manufacture of a product if
the claimed process inherently produces the claimed product with the
technical relationship being present between the claimed process and the
claimed product.  The expression "specially adapted" does not imply that
the product could not also be manufactured by a different process.

An apparatus or means is specifically designed for carrying out the
process when the apparatus or means is suitable for carrying out the
process with the technical relationship being present between the
claimed apparatus or means and the claimed process. The expression
specifically designed does not imply that the apparatus or means could
not be used for carrying out another process, nor does it imply that the
process could not be carried out using an alternative apparatus or
means.

Note: the determination regarding unity of invention is made without
regard to whether a group of inventions is claimed in separate claims or
as alternatives within a single claim. The basic criteria for unity of
invention are the same, regardless of the manner in which applicant
chooses to draft a claim or claims.

---SECTION---1893.03(e) Papers Received From the International Bureau
and Placed in a U.S. National Stage Application File

The national stage application includes papers forwarded by the
International Bureau and papers from applicant.  Some of the papers from
the International Bureau are identified in this section with a brief
note as to their importance to the national stage application. The
examiner should review each such paper and the important aspect
indicated.

THE PAMPHLET

The Pamphlet includes

(A) a cover page with the applicant/inventor data, the application data
(serial number, filing date, etc.) and the Abstract (and, if
appropriate, a figure of drawing),

(B) the description, claims and drawing parts of the international
application, and

(C) the search report (Form PCT/ISA/210). 

The cover page is important as a source of the correct application data,
most importantly the filing date and priority date accorded to the
international application. If the pamphlet is published in English,
applicant need not submit a copy of the international application to the
Patent and Trademark Office. The Office will use the description,
claims, abstract and drawings as published in the pamphlet for the U.S.
national stage examination under  35 U.S.C. 371.  The description,
claims and drawing parts of the international application reflect the
application subject matter on the international filing date and are
important for comparison with any amendments to check for new matter. 
The search report reflects the International Searching Authority's
opinion regarding the prior art.

THE INTERNATIONAL PRELIMINARY EXAMINATION REPORT

If the international application underwent preliminary examination, the
International Preliminary Examination Report (Form PCT/IPEA/409)
reflects the International Preliminary Authority's non-binding opinion
regarding novelty, inventive step and industrial applicability. The
examiner may adopt any portion or all of this opinion upon consideration
in the national stage so long as it is consistent with U.S. practice.
The examiner should comment upon the Report in the first Office action
on the merits to reflect that the Report has been considered. The
comment may be a mere acknowledgement. 

THE PRIORITY DOCUMENT

See the discussion in MPEP Section  1893.03(c).

NOTIFICATION OF WITHDRAWAL

If the national stage application papers include a Notification of
Withdrawal (PCT/IB/307), the examiner must check the date of receipt of
the  35 U.S.C. 371 requirements (the 371 date) on Form PCT/DO/EO/903 to
be sure that the 371 date is not later than the date of withdrawal.  If
it is later, the national stage application must be returned to the PCT
Legal Office for a decision regarding the propriety of entry into the
national stage.

---SECTION---1893.03(f) Drawings and PCT Rule 11

The drawings for the national stage application must comply with PCT
Rule 11. The copy of the drawings provided by the International Bureau
has already been checked and should be in compliance with PCT Rule 11.
Accordingly, the drawing provided by the International Bureau should be
acceptable. Sometimes, applicant submits a drawing for use in the
national stage application and a check will be made by the Official
Draftsman. The Official Draftsman may not impose requirements beyond
those imposed by the Patent Cooperation Treaty (e.g., PCT Rule 11). The
examiner does indeed have the authority to require new or more
acceptable drawings if the drawings were published without meeting all
requirements under the PCT for drawings. Unless the applicant requests
the use of drawings which he or she has submitted, the drawings to be
employed in the national stage are those which are a part of the Article
20 communication.

---SECTION---1893.03(g) Information Disclosure Statement in a National
Stage Application

An extensive discussion of Information Disclosure Statement practice is
to be found in MPEP Section  609. Although not specifically stated
therein, the duty to disclose information material to patentability as
defined in  37 CFR 1.56 is placed on individuals associated with the
filing and prosecution of a national stage application in the same
manner as for a domestic national application. The declaration requires
the same averments with respect to the duty under 37 CFR 1.56.

When an international application is filed under the Patent Cooperation
Treaty (PCT), prior art documents may be cited by the examiner in the
international search report and/or the international preliminary
examination report. When a national stage application is filed under  35
U.S.C. 371, or a national application is filed under  35 U.S.C. 111
claiming benefit of the filing date of the international application, it
is often desirable to have the examiner consider the documents cited in
the international application when examining the national application.

As a result of an agreement among the European Patent Office (EPO),
Japanese Patent Office (JPO), and the United States Patent and Trademark
Office (USPTO), copies of documents cited in the international search
report issued by any one of these International Searching Authority
Offices generally are being sent to the other Offices when designated in
the international application. Accordingly, in many national stage
applications where the international search was conducted by the EPO,
JPO, or USPTO, copies of the documents cited in the international search
report are made available to the examiner in the national stage
application.

When all the requirements for a national stage application have been
completed, applicant is notified (Form PCT/DO/EO/903) of the acceptance
of the application under  35 U.S.C. 371, including an itemized list of
the items received. The itemized list includes an indication of whether
a copy of the international search report and copies of the references
cited therein are present in the national stage file.  The examiner will
consider the documents cited in the international search report, without
any further action by applicant under  37 CFR 1.97 and 1.98, when both
the international search report and copies of the documents are
indicated to be present in the national stage file.  The examiner will
note the consideration in the first Office action. There is no
requirement that the examiners list the documents on a PTO-892 form. See
Form Paragraphs 6.53, 6.54, and 6.55 (reproduced in MPEP Section  609).
Otherwise, applicant must follow the procedure set forth in  37 CFR 1.97
and 1.98 in order to ensure that the examiner considers the documents
cited in the international search report.

This practice applies only to documents cited in the international
search report relative to a national stage application filed under  35
U.S.C. 371.  It does not apply to documents cited in an international
preliminary examination report that are not cited in the search report.
It does not apply to applications filed under  35 U.S.C. 111(a) claiming
the benefit of an international application filing date.

---SECTION---1895 A Continuation or Continuation-In-		Part Application
of a PCT Application Designating the United States

It is possible to file a U.S. national application under  35 U.S.C.
111(a) during the pendency (prior to the abandonment) of an
international application which designates the United States without
completing the requirements for entering the national stage under  35
U.S.C. 371(c). The ability to take such action is based on provisions of
the United States patent law.  35 U.S.C. 363 provides that "[a]n
international application designating the United States shall have the
effect, from its international filing date under article 11 of the
treaty, of a national application for patent regularly filed in the
Patent and Trademark Office...."  35 U.S.C. 371(d) indicates that
failure to timely comply with the requirements of  35 U.S.C. 371(c) 
"shall be regarded as abandonment ... by the parties thereof...."  It is
therefore clear that an international application which designates the
United States has the effect of a pending U.S. application from the
international application filing date until its abandonment as to the
United States. The first sentence of  35 U.S.C. 365(c) specifically
provides that "[i]n accordance with the conditions and requirements of
section 120 of this title, ... a national application shall be entitled
to the benefit of the filing date of a prior international application
designating the United States." The condition of  35 U.S.C. 120 relating
to the time of filing requires the later application to be filed before
the patenting or abandonment of or termination of proceedings on the
first application. The filing of continuations and continuations-in-part
of a PCT application designating the U.S. was used primarily in
instances where there was difficulty in obtaining a signed oath or
declaration by the expiration of the time for entry into the national
stage.  Since applicants are now notified of missing or defective oaths
or declarations and/or translations, and are given a time period to
respond which is extendable under  37 CFR 1.136(a), the use of this
practice may well diminish.

A continuing application under  35 U.S.C. 365(c) and 120 must be filed
before the abandonment or patenting of the prior application.

To obtain benefit under  35 U.S.C. 120, the continuing U.S. national
application must

(A) include an appropriate reference to the prior application,

(B) be copending with the prior application, and

(C) have at least one inventor in common with the prior application. See
MPEP Section  201.11. A U.S. national application is copending with an
international application if the prior international application was
pending on the filing date of the subsequent U.S. national application. 

If the prior application is an international application, the examiner
must ascertain (2) and (3) above by either examining the national stage
application file of the international application, or by examining the
international application file, or requiring applicant to submit
sufficient proof that the international application was copending with
the U.S. national (35 U.S.C. 111(a)) application claiming benefit under 
35 U.S.C. 120. If the parent international application was not copending
(i.e., abandoned or withdrawn), benefit under  35 U.S.C. 120 is not
possible.

If priority is claimed under  35 U.S.C. 120 in a third U.S. national
application to a first national or international application via a
second international application, the examiner must examine the second
international application to see if it contains a proper reference for
benefit under  35 U.S.C. 120 of the first filed application. The second
international application must include an appropriate reference in the
Request to the prior U.S. national application. The appropriate
reference in the Request should identify the parent application and
include an indication that it is a continuation or continuation-in-part
of the first filed U.S. application, PCT Rule 4.14.  In order for the
examiner to determine if the international application meets the above
noted requirements, the examiner should review the copy of the Request
form in the international application file or the cover page of the
published international application.  If the copy is not in the file,
the International Application Processing Division may obtain a copy from
the International Bureau.

---SECTION---1895.01 Handling of and Considerations In the Handling of
National Applica tions Under 35 U.S.C. 371 and  35 U.S.C. 111(a)
Continuations and Continuations-In-Part of a PCT Application

A national application can be either a national stage application
submitted under  35 U.S.C. 371 or a national application filed under  35
U.S.C. 111(a).

NATIONAL APPLICATIONS SUBMITTED UNDER 35 U.S.C. 371

These applications are the result of an international application filed
under the PCT entering the national stage in the United States. They are
called national stage applications. The national stage application
papers are placed in a domestic application file wrapper and the phrase
"FILED UNDER  35 U.S.C. 371" is stamped on the front of the file
wrapper.  In addition, a "Notification of Acceptance of Application
under  35 U.S.C. 371 and  37 CFR 1.494 or 1.495" (Form PCT/DO/EO/903) is
placed in the file.

A typical time line involving an international and a national stage
application is illustrated as follows:

[GRAPHIC]

Although the illustrated time line is typical, there is no requirement
that there be a priority application, nor is there any requirement that
the national stage application be submitted after the international
application is published.

National stage applications submitted under  35 U.S.C. 371 are treated
differently in certain respects than national applications filed under 
35 U.S.C. 111(a). Treatment of  35 U.S.C. 371 applications differs from
treatment of  35 U.S.C. 111(a) applications as follows:

A. Filing Date As Applicant's Date Of Invention

By virtue of  35 U.S.C. 363, the U.S. filing date of a national stage
application is the international filing date (the filing date of the
international application) for the purpose of determining whether
information is prior art (i.e., has an effective date) relative to the
invention claimed in the national stage application. The date which
appears in the "filing date" box on the front of the file wrapper of a
national stage application, however, is the date on which the
requirements of  35 U.S.C. 371(c) were complied with, and typically is
not the same as the international filing date of the application. The
international filing date is the critical date for determining whether
or not a particular reference is available as prior art against the
application. The international filing date will appear next to the
international application number in the CONTINUING DATA section on the
file wrapper label and in the "Notification of Acceptance of Application
under  35 U.S.C. 371 and  37 CFR 1.494 or 1.495" (Form PCT/DO/EO/903).

B. 35 U.S.C. 119(a) Priority In National Stage Application

The filing date of a national stage application is the international
filing date. Pursuant to  35 U.S.C. 365(b), a priority claim under  35
U.S.C. 119(a) is proper if (a) a claim for priority was made in the
international application, and (b) the application was filed within 12
months prior to the international filing date. See MPEP Section 
1893.03(c). The examiner should acknowledge the priority claim and
priority document in the next Office action and on the file wrapper as
in any  35 U.S.C. 119(a)-(d) situation, if appropriate.

C. Priority Document

In national stage applications, a photocopy of the foreign priority
document is received from the International Bureau and placed in the
national stage application file. This copy of the foreign priority
document is sufficient to establish that applicant has filed a certified
copy of the priority document.  The copy received from the International
Bureau bears a "WIPO" stamp. If a copy of the foreign priority document
is not in the national stage application file, the examiner should
consult the Group's Special Program Examiner. A certified copy of a
priority document filed as a U.S. provisional application under  35
U.S.C. 111(b) is not required under  35 U.S.C. 119(e).

D. Unity Of Invention

Restriction practice in both international and national stage
applications is determined under unity of invention principles as set
forth in  37 CFR 1.475 and 1.499.  Restriction practice under  35 U.S.C.
121, as it applies to national applications submitted under  35 U.S.C.
111(a), is not applicable to either international or national stage
applications. However, a continuing application claiming benefit under 
35 U.S.C. 365(c) to an international application or to a national stage
application is not a national stage application and, therefore, the
restriction practice under  35 U.S.C. 121 is applicable.

E. Filing Date For Prior Art Purposes Under 35 U.S.C. 102(e)

Once a patent issues from a national stage application, the filing date
for prior art purposes under  35 U.S.C. 102(e) is not the international
filing date, but is the date on which the requirements of  35 U.S.C.
371(c)(1), (2) and (4) were met (copy of the international application
with any necessary translation, national fee and oath or declaration
were filed). The  35 U.S.C. 102(e) date for prior art purposes is listed
on the first page of the patent. An applicant may establish a filing
date for prior art purposes under  35 U.S.C. 102(e) by satisfying the
requirements of  35 U.S.C. 371 long before the expiration of 20 or 30
months from the priority date.  However, as the international
application is usually published approximately 18 months from the
priority date, this publication generally will have an earlier date for
prior art purposes than the  35 U.S.C. 102(e) date of the U.S. patent. A
copy of the published international application can be obtained through
the Foreign Patents Branch of the Scientific and Technical Information
Center (STIC). The publication number and publication date appear on the
first page of the patent.

F. International Publication Number And The Publication Date

The International Publication Number and the Publication Date MUST be in
the national stage application if the application is allowed. The
International Publication Number and the Publication date can be found
in the DO/US Worksheet WIPO Publication block.  If the Publication
Number and the Publication date are not found on the worksheet or if the
worksheet is missing, the information may be taken either from the
International Publication or the PCT Gazette page.  The examiner should
ensure that the International Publication Number and the Publication
date are in one of these three locations before the application is sent
to Publishing Division.

CONTINUATION, CIP, OR DIVISION OF INTERNATIONAL APPLICATION FILED UNDER
35 U.S.C. 111(a)

Rather than filing a national stage application, a continuing
application (i.e., continuation, C-I-P, or division) under  35 U.S.C.
111(a) of the international application may be filed. Pursuant to  35
U.S.C. 365(c), a regular national application filed under  35 U.S.C.
111(a) and  37 CFR 1.53(b) (not under  37 CFR 1.53(d) or former  37 CFR
1.60 or 1.62) may claim benefit of the filing date of an international
application which designates the United States.

A typical time line involving a continuing application filed during the
pendency of an international application is illustrated as follows:

[GRAPHIC]

The continuing application must be filed before the international
application becomes abandoned as to the U.S. as set forth in  37 CFR
1.494 and 1.495.  An appropriate sentence (such as "This is a
continuation of International Application PCT/EP90/00000, with an
international filing date of January 4, 1990, now abandoned.'') must
appear at the beginning of the specification. In addition, all other
conditions of  35 U.S.C. 120 (such as having at least one common
inventor) must be satisfied.  A copy of the international application
(and an English translation) may be required by the examiner to perfect
the claim for benefit under  35 U.S.C. 120 and 365(c) if necessary, for
example, where an intervening reference is found and applied in a
rejection of one or more claims.

A claim for foreign priority under  35 U.S.C. 119(a)-(d) must be made in
the continuing application in the same manner as in a national stage
application. In the same manner as with a national stage application, a
foreign priority claim is proper if (1) a claim for foreign priority was
made in the international application, and (2) the foreign application
was filed within 12 months prior to the international filing date.  A
certified copy of any foreign priority document must be provided by the
applicant if the parent international application has not entered the
national stage under  35 U.S.C. 371 (the photocopy received from the
International Bureau cannot be used).  If the parent international
application has entered the national stage under  35 U.S.C. 371, the
applicant, in the continuing application, may state that the priority
document is contained in the national stage application.

 35 U.S.C. 119(a)-(d) PRIORITY CLAIM TO INTERNATIONAL APPLICATION IN 35
U.S.C. 111(a) NATIONAL APPLICATION

Pursuant to  35 U.S.C. 365(a), an application filed under  35 U.S.C.
111(a) may make a claim for foreign priority under  35 U.S.C. 119
(a)-(d) to an international application which designates at least one
country other than the United States (the U.S. may also be designated).
In this situation, applicant must file a certified copy of the
international application in the application filed under  35 U.S.C.
111(a) and the applicant must satisfy all other requirements of  35
U.S.C. 119(a)-(d).  A typical time line for this situation is
illustrated as follows:

[GRAPHIC]

The examiner should acknowledge the priority claim and priority document
in the next Office action and on the file wrapper as in any  35 U.S.C.
119(a)-(d) situation, if appropriate.

---SECTION---1896 The Differences Between a National Application Filed
Under 35 U.S.C. 111(a) and a National Stage Applica tion Filed Under 35
U.S.C. 371

The following section describes the differences between a U.S. national
application filed under  35 U.S.C. 111(a), including those claiming
benefit of a PCT application under  35 U.S.C. 120 (a continuation or a
continuation-in-part of a PCT application), and a U.S. national stage
application (filed under  35 U.S.C. 371).



Chart of Some Common Differences

	National Applications (filed under   35 U.S.C. 111(a))	National Stage
Applications  (filed under   35 U.S.C. 371)

Filing Date	Deposit date in USPTO of specification, claim and any
necessary drawing	International filing date of PCT application

Effective Date as a reference  (35 U.S.C. 102(e))	Effective U.S. filing
date	Deposit date in USPTO of the   35 U.S.C. 371(c)(1), (2)  and (4)
requirements

35 U.S.C. 119(a)-(d)  Priority Requirement	Claim & certified copy
provided by applicant	Certified copy provided by WIPO, claim by
applicant

Unity of Invention	U.S. restriction practice	Unity of invention practice
under   37 CFR 1.499

Filing Fees	37 CFR 1.16	37 CFR 1.492

Reference to Application in Declaration	Attached application, U.S.
Application No., etc.	Same as in a   35 U.S.C. 111(a) filing or may
refer to the international application

Copendency with International Application	Applicant provides proof	Not
an issue

The differences between a national application filed under  35 U.S.C.
111(a) and a national stage application filed under  35 U.S.C. 371 are
often subtle, but the differences are important.

FILING DATE 

The filing date of a  35 U.S.C. 111(a) application is the date when the
PTO receives a specification, claim, and any drawings filed in the name
of the inventors.

The filing date of a PCT international application is the date applicant
satisfies Article 11 requirements, i.e., includes a specification,
claim, U.S. residency or nationality, prescribed language, designation
of a contracting state, and names of the applicant.

In this regard, note that  35 U.S.C. 363  provides that,

An international application designating the United States shall have
the effect, from its international filing date under Article 11 of the
treaty, of a national application for patent regularly filed in the
Patent and Trademark Office except as otherwise provided in section
102(e) of this title.

Similarly, PCT Article 11(3) provides that

...an international filing date shall have the effect of a regular
national application in each designated State as of the international
filing date, which date shall be considered to be the actual filing date
in each designated State.

EFFECTIVE DATE AS A REFERENCE

When a U.S. national application filed under  35 U.S.C. 111(a) becomes a
U.S. patent, its effective date as a prior art reference against a
pending application is its effective filing date. See  35 U.S.C. 102(e). 
Thus, if the  35 U.S.C. 111(a) application claims the benefit of a prior
application, e.g., a copending PCT international application under  35
U.S.C. 120 or a copending provisional application under  35 U.S.C.
119(e), its effective date as a reference will be the filing date of the
prior application. When a U.S. national stage application filed under 
35 U.S.C. 371 becomes a U.S. patent, its effective date as a prior art
reference against a pending application is the date applicant fulfilled
the requirements of  35 U.S.C. 371(c)(1) (the basic national fee),
(c)(2) (copy of the international application and a translation into
English if filed in another language), and (c)(4) (an oath or
declaration of the inventor). See  35 U.S.C. 102(e).

 35 U.S.C. 119(a)-(d) PRIORITY REQUIREMENTS

The certified copy of the foreign priority application must be provided
to the Office by applicant in a U.S. national application filed under 
35 U.S.C. 111(a). Where applicant filed an international application
claiming priority to an earlier filed national application, the
certified copy of the priority application is required to be provided to
the International Bureau by applicant during the international stage.
The International Bureau (WIPO) then sends a copy of the certified copy
of the priority application to each designated office for inclusion in
the national stage application. A U.S. national stage application filed
under  35 U.S.C. 371 will have a photocopy of the priority document with
the first page stamped by the International Bureau to indicate that it
is a priority document received by WIPO and the date of such receipt. 
Such a photocopy is acceptable in a U.S. national stage application to
establish that applicant has filed a certified copy of the priority
document.  If the photocopy is missing from the national stage
application file, either the document has been misplaced or it was not
provided due to a defect in priority during the international stage.  If
the priority claim was not in accordance with PCT Rule 4.10 or the
priority document was not provided in accordance with PCT Rule 17, the
photocopy of the priority document will not have been provided by the
International Bureau.

UNITY OF INVENTION 

U.S. national applications filed under  35 U.S.C. 111(a) are subject to
restriction practice in accordance with  37 CFR 1.141-1.146. See MPEP
Section  803.  U.S. national stage applications filed under  35 U.S.C.
371 are subject to unity of invention practice in accordance with  37
CFR 1.475 and 1.499 (effective May 1,  1993).

FILING FEES 

U.S. national applications filed under  35 U.S.C. 111(a) are subject to
the national application filing fees set forth at  37 CFR 1.16.  U.S.
national stage applications filed under  35 U.S.C. 371 are subject to
the national stage fees prescribed at  37 CFR 1.492.

REFERENCE TO APPLICATION IN DECLARATION

Applicant's oath or declaration is required to identify the
specification to which it is directed (37 CFR 1.63(a)(2)).  The
specification may be identified in a U.S. national application filed
under  35 U.S.C. 111(a) by reference to an attached specification or by
reference to the application number and filing date of a specification
previously filed in the Office. MPEP Section  601.01(a) gives the
minimum requirements for identification of the specification. U.S.
national stage applications filed under  35 U.S.C. 371 may identify the
specification (in the oath or declaration) in the same manner as
applications filed under  35 U.S.C. 111(a) or may identify the
specification by reference to the application number and filing date of
the international application.

