PCT Applicant's Guide Introducción a la fase nacional - Valid as from 4 de septiembre de 2025

La presente parte de la Guía del Solicitante del PCT (la Guía) contiene información sobre la “fase nacional” del procedimiento del PCT, concretamente, sobre el procedimiento ante las Oficinas designadas (o elegidas). Los contenidos que aquí figuran son una continuación de la información sobre la “fase internacional” del procedimiento del PCT.

NP 1.002

Esta parte de la Guía consta de dos elementos. Primero, el presente texto, en el que se expone de manera pormenorizada lo que deben hacer los solicitantes de cara a la entrada en la fase nacional.

NP 1.003

Al presente texto le siguen los Capítulos Nacionales, relativos a todas las Oficinas designadas (o elegidas). Los Capítulos Nacionales se estructuran de la siguiente manera:

i) un resumen de los requisitos para entrar en la fase nacional, en el que se citan los requisitos particulares que exige cada Oficina designada (o elegida) en relación con la entrada en la fase nacional, como se describe a continuación;

ii) una descripción del procedimiento en el marco de la fase nacional, en la que se citan de manera general los trámites principales que habrán de efectuarse ante la oficina correspondiente una vez iniciada la fase nacional; también en esta parte se aportan precisiones suplementarias sobre determinados requisitos particulares mencionados en el resumen, así como información sobre las tasas pagaderas y los formularios nacionales que los solicitantes pueden o deben utilizar en el marco de la entrada en la fase nacional o durante la fase nacional;

iii) anexos, que contienen las tablas de las tasas mencionadas en los Capítulos Nacionales, indicaciones sobre el modo de pago de las tasas a la Oficina y ejemplos o modelos de los formularios que los solicitantes pueden utilizar en la fase nacional (las oficinas interesadas aceptan fotocopias de dichos formularios).

NP 1.004

En el texto de la Guía, el término “Artículo” se refiere a los artículos del Tratado de Cooperación en materia de Patentes, el término “Regla”, a las reglas de su Reglamento de ejecución, y el término “Instrucción”, a las Instrucciones Administrativas del PCT. Cada vez que se utilizan estos términos en el texto de los Capítulos Nacionales, se indica si hacen referencia al PCT o a la legislación nacional. Salvo indicación en contrario, toda mención de un “párrafo” se refiere al texto de la parte relativa a la fase nacional de la Guía del Solicitante del PCT.

NP 1.005

La oficina competente que puede ser designada (o elegida) en un Estado contratante del PCT es por lo general la Oficina nacional del Estado en cuestión. Con respecto a los Estados partes en el Protocolo de Harare de la ARIPO, el Convenio sobre la Patente Eurasiática o el Convenio sobre la Patente Europea, el procedimiento de la fase nacional tiene lugar en la Oficina nacional o en la Oficina regional correspondiente (es decir, la Oficina de la ARIPO, la Oficina Eurasiática de Patentes o la Oficina Europea de Patentes, respectivamente), según el tipo de designaciones efectuadas (ya sea con fines de protección a nivel nacional, o bien para obtener una patente regional). (En los párrafos IP 4.022 a IP 4.026 se describen los sistemas de patentes regionales). Con respecto a algunos Estados partes en el Protocolo de Harare de la ARIPO o el Convenio sobre la Patente Europea, que han “cerrado la vía nacional”, la fase nacional tiene lugar exclusivamente en la Oficina de la ARIPO y la Oficina Europea de Patentes, respectivamente (consúltese el párrafo NP 2.002 de esta parte de la Guía). Si en la legislación nacional de un Estado contratante del PCT se prevé la protección por patente mediante la extensión de una patente europea, la fase nacional tiene lugar efectivamente en la Oficina Europea de Patentes (consúltese el párrafo IP 5.054 de la parte relativa a la fase internacional). Con respecto a los Estados partes en el Acuerdo de la OAPI, la fase nacional tiene lugar exclusivamente en la Oficina de la OAPI (consúltense los párrafos NP 4.022 a NP 4.026 de la parte relativa a la fase internacional y el párrafo NP 2.002 más adelante). Los Anexos B contienen información relativa a las Oficinas designadas competentes respecto de cada Estado contratante.

NP 1.006

Las Oficinas (nacionales o regionales) han aprobado el borrador del Capítulo que le corresponde a cada una en calidad de Oficina designada (o elegida). Claro está que en estos Capítulos quizá no puedan abordarse todas las cuestiones que pudieran plantearse. Por otro lado, las prácticas y las normas pueden cambiar, y en todo caso, las únicas fuentes fidedignas son las leyes, las normas y los reglamentos. Cabe señalar que las correcciones, adiciones y actualizaciones se efectúan lo antes posible; sin embargo, se recomienda a los solicitantes que recurran a los servicios de asesores o abogados de patentes locales, cuyos conocimientos especializados y experiencia no es posible reemplazar por un documento escrito.

CAPÍTULO 2 : ENTRADA EN LA FASE NACIONAL (GENERALIDADES)

NP 2.001. ¿Qué es la fase nacional?

Artículo 11.3),

Artículo 23,

Artículo 40

La fase nacional es la segunda de las dos fases principales del procedimiento del PCT. La fase nacional tiene lugar después de la fase internacional y consiste en la tramitación de la solicitud internacional ante cada una de las Oficinas de los Estados contratantes, o que actúan por cuenta de los Estados contratantes designados en la solicitud internacional (consúltese la parte relativa a la fase internacional). En cada Estado designado, la solicitud internacional surte los mismos efectos que una solicitud nacional (o regional) a partir de la fecha de presentación internacional, y corresponde a la Oficina de dicho Estado (o que actúa por cuenta de dicho Estado), es decir a la “Oficina designada”, decidir si se concede la protección de una invención. La tramitación de la solicitud internacional en la fase nacional por parte de la Oficina designada se aplaza, por lo general, hasta que haya terminado la fase internacional, al vencer los plazos indicados en los párrafos NP 3.001 a NP 3.002.

NP 2.002. ¿En qué casos puede una oficina ser “Oficina designada”?

Artículo 2.xiii),

Artículo 4

La Oficina nacional de un Estado contratante será “Oficina designada” cuando dicho Estado haya sido “designado” en la solicitud internacional con miras a obtener protección a nivel nacional. Al presentar un petitorio, se designa automáticamente a todos los Estados contratantes que estén obligados por el Tratado en la fecha de presentación internacional. No obstante, se podrá excluir a algunos Estados de esta designación general, siempre que estos hayan notificado a la Oficina Internacional que la Regla 4.9.b) se aplica a ellos (consúltese el párrafo IP 5.053 de la parte relativa a la fase internacional). Si un Estado contratante del PCT es parte en el Protocolo de Harare de la ARIPO, el Convenio sobre la Patente Eurasiática o el Convenio sobre la Patente Europea, y se le designa con miras a obtener una patente regional (ARIPO, eurasiática o europea), la Oficina designada será la Oficina regional correspondiente (es decir, la Oficina de la ARIPO, la Oficina Eurasiática de Patentes o la Oficina Europea de Patentes). En caso de que se designe dos veces a un Estado parte en el Protocolo de Harare de la ARIPO, el Convenio sobre la Patente Eurasiática o el Convenio sobre la Patente Europea, es decir que se le designe con miras a obtener tanto protección a nivel nacional como una patente regional, entonces habrá dos Oficinas designadas para tal Estado: la Oficina nacional de dicho Estado y la Oficina regional correspondiente. No obstante, algunos Estados partes en el Protocolo de Harare de la ARIPO o el Convenio sobre la Patente Europea han “cerrado la vía nacional”, de modo que en esos países la única manera de obtener protección por patente sobre la base de una solicitud internacional es efectuando una designación con miras a obtener una patente regional (ARIPO o europea). Si se designa a cualquiera de los Estados que han “cerrado la vía nacional”, la Oficina designada competente será siempre la Oficina de la ARIPO o la Oficina Europea de Patentes, según corresponda (consúltense los párrafos IP 4.022 a IP 4.026 de la parte relativa a la fase internacional). En la práctica, la Oficina Europea de Patentes es también la Oficina designada cuando se solicita protección por patente en un Estado designado mediante la extensión de una patente europea a dicho Estado. Esta posibilidad existe únicamente para los países que hayan concertado un acuerdo en ese sentido con la Organización Europea de Patentes (consúltese el Anexo B(EP) y el Capítulo Nacional (Resumen) relativo a la Oficina Europea de Patentes). Cuando se designe a los Estados partes en el Acuerdo de la OAPI, la Oficina de la OAPI será siempre la Oficina designada, conforme a las disposiciones de dicho Acuerdo (consúltense los párrafos NP 4.022 a NP 4.026 de la parte relativa a la fase internacional). En los Anexos B figuran las Oficinas designadas para cada Estado contratante.

NP 2.003

Artículo 24.1).i),

Artículo 24.ii),

Regla 90bis.2

Si el solicitante retira voluntariamente una designación antes de que venza el plazo para entrar en la fase nacional, la Oficina del Estado cuya designación se retira, o la Oficina que actúa por cuenta de dicho Estado, deja de ser Oficina designada.

NP 2.004. ¿En qué casos puede una oficina ser “Oficina elegida”?

Artículo 2.xiv),

Artículo 31

Cuando se presenta una solicitud de examen preliminar internacional, se utiliza el término “Oficina elegida”, en lugar de “Oficina designada”, para referirse a la Oficina de un Estado, o la Oficina que actúa por cuenta de un Estado en el que el solicitante pretende utilizar los resultados del examen preliminar internacional. Puesto que solo se puede elegir a los Estados designados, todas las Oficinas elegidas son necesariamente también Oficinas designadas.

NP 2.005

Artículo 37,

Regla 90bis.4

Si se retira la solicitud antes de la fecha prevista para iniciar el examen o la tramitación en la fase nacional, o si no se paga la tasa de examen preliminar o la tasa de tramitación y por tanto la solicitud se considera como no presentada, la Oficina del Estado que se ha elegido en la solicitud, o la Oficina que actúa por cuenta de dicho Estado, deja de ser Oficina elegida.

NP 2.006. ¿Cómo se da inicio a la fase nacional?

La fase nacional se inicia únicamente si se realizan determinados actos, ya sea antes de que venza un plazo determinado o en el momento en que solicita expresamente el inicio anticipado de esta fase. No se prevé notificación alguna para invitar a ejecutar dichos actos; por el contrario, incumbe a los solicitantes ejecutarlos en tiempo y forma. El incumplimiento de estos actos acarrea consecuencias perjudiciales para la solicitud en muchos de los Estados designados (consúltense los párrafos NP 4.003 y NP 4.004). Téngase en cuenta que estos actos deben realizarse en tiempo y forma, aunque, por el motivo que fuere, aún no estén disponibles el informe de búsqueda internacional, ni la opinión escrita de la Administración encargada de la búsqueda internacional, ni el informe preliminar internacional sobre la patentabilidad (Capítulo I o II del PCT). En los párrafos siguientes se brinda información pormenorizada sobre los actos que han de realizarse y los plazos establecidos.

CAPÍTULO 3 : PLAZO PARA EFECTUAR LA ENTRADA EN LA FASE NACIONAL

GENERALIDADES

NP 3.001. ¿Cuál es el plazo para efectuar la entrada en la fase nacional ante una Oficina designada?

Artículo 2.xi),

Artículo 22

A reserva de lo que se expone más adelante, las Oficinas designadas no podrán tramitar o examinar la solicitud internacional antes del vencimiento de un plazo de 30 meses contados desde la fecha de prioridad; por otra parte, las tasas adeudadas a una Oficina designada y las traducciones de la solicitud internacional que hayan de entregarse a una Oficina designada no deberán abonarse ni entregarse, respectivamente, hasta el vencimiento del plazo de 30 meses (por “fecha de prioridad” se entiende, si una solicitud contiene una reivindicación de prioridad, la fecha de presentación de la solicitud cuya prioridad se reivindica, y, si no contiene tal reivindicación, la fecha de presentación de la solicitud internacional. Cuando la solicitud internacional contenga dos o más reivindicaciones, se entenderá por “fecha de prioridad” la fecha de presentación de la solicitud más antigua cuya prioridad se reivindica). En el caso de algunas Oficinas designadas, el plazo aplicable es de 20 meses, y no de 30 meses, debido a la incompatibilidad, por el momento, de la disposición modificada del PCT (Artículo 22.1) del PCT) con la legislación nacional pertinente. Esas Oficinas han formulado una declaración de incompatibilidad que seguirá vigente hasta que las Oficinas respectivas la retiren. Por otra parte, algunas Oficinas designadas han establecido plazos superiores a los 30 meses, o 20 meses, según el caso. La información sobre los plazos aplicables se actualiza periódicamente y se puede consultar en los Capítulos Nacionales pertinentes. También se puede consultar un cuadro acumulativo en el sitio web de la OMPI: http://www.wipo.int/es/web/pct-system/texts/time_limits .

NP 3.002. ¿Cuál es el plazo para efectuar la entrada en la fase nacional ante una Oficina elegida?

El plazo es, por lo general, de 30 meses contados desde la fecha de prioridad, es decir, el mismo plazo que se aplica para efectuar la entrada en la fase nacional ante una Oficina designada que no ha sido elegida (consúltese el párrafo NP 3.001). En el caso de las Oficinas designadas para las que se aplica el plazo de 20 meses (consúltese el párrafo NP 3.001), el plazo será de 30 meses contados desde la fecha de prioridad, si se presenta una solicitud de examen preliminar internacional antes del vencimiento de un plazo de 19 meses contados desde la fecha de prioridad. Cabe la posibilidad de que en la legislación nacional aplicada por las Oficinas elegidas se establezca un plazo superior a los 30 meses contados desde la fecha de prioridad. Para cada Oficina respecto de la cual se aplica un plazo prorrogado, la duración de dicho plazo se indica en el Capítulo Nacional (Resumen) relativo a dicha Oficina, así como en el cuadro mencionado en el párrafo NP 3.001. Téngase en cuenta que algunas Oficinas aplican plazos diferentes dependiendo de si se efectúa la entrada en la fase nacional según el Capítulo I (Artículo 22) o el Capítulo II (Artículo 39.1)) (para obtener más información, consulte el cuadro mencionado en el párrafo NP 3.001). En estos casos, se recomienda efectuar la entrada en la fase nacional ante las Oficinas elegidas antes del vencimiento del plazo de 30 meses contados desde la fecha de prioridad a fin de garantizar la entrada en la fase nacional oportunamente.

NP 3.003. ¿Se encargan las Oficinas designadas de enviar a los solicitantes recordatorios para que efectúen la entrada en la fase nacional? ¿Qué sucede si se demora la emisión del informe de búsqueda internacional o del informe de examen preliminar internacional?

Por lo general, las Oficinas designadas no envían recordatorios a los solicitantes para avisarles de que el plazo para la entrada en la fase nacional está a punto de vencer (o que acaba de vencer). Por eso, corresponde a los solicitantes estar atentos a los plazos aplicables, de modo que la solicitud no pierda efectividad ante las Oficinas designadas. Los solicitantes deben encargarse de ejecutar oportunamente los actos necesarios para efectuar la entrada en la fase nacional, aunque en el momento en que tengan que decidir cómo proceder aún no se hayan elaborado ni el informe de búsqueda internacional, ni la opinión escrita de la Administración encargada de la búsqueda internacional, ni el informe preliminar internacional sobre la patentabilidad (Capítulo I o II del PCT) (consúltense los párrafos IP 7.023, IP 7.027, IP 7.031 y IP 10.074 de la parte relativa a la fase internacional).

SOLICITUD DE INICIO ANTICIPADO DE LA FASE NACIONAL

NP 3.004. ¿Es posible que la fase nacional comience antes de que venza el plazo para efectuar la entrada en dicha fase?

Artículo 23,

Artículo 40

En los Artículos 23 y 40 del Tratado de Cooperación en materia de Patentes se prevé que el procedimiento nacional no comience antes del vencimiento de los plazos mencionados en los párrafos NP 3.001 y NP 3.002, a menos que el solicitante pida expresamente a la Oficina interesada que comience anticipadamente la tramitación y el examen de la solicitud internacional. Sin embargo, tal petición no tendrá validez si no se han realizado los actos exigidos que se describen en los próximos párrafos. Debe tenerse en cuenta la información que figura en el párrafo NP 4.028.

CHAPTER 4: ACTS TO BE PERFORMED FOR ENTRY INTO THE NATIONAL PHASE

GENERALIDADES

NP 4.001. ¿Qué deben hacer los solicitantes antes del inicio de la fase nacional?

Artículo 22.1)

Deben realizar los siguientes actos (si procede):

i) pagar la tasa nacional (consúltense los párrafos NP 4.005 a NP 4.007);

ii) entregar una traducción, si así se exige (consúltense los párrafos NP 4.008 a NP 4.026);

iii) en casos excepcionales (si no se ha transmitido a la Oficina designada una copia de la solicitud internacional conforme al Artículo 20), entregar una copia de la solicitud internacional, salvo cuando la Oficina en cuestión no lo exija (consúltense los párrafos NP 4.027 y NP 4.028);

iv) en casos excepcionales (si al presentar la solicitud internacional no se han indicado en el petitorio ni el nombre ni la dirección del inventor, pero la Oficina designada admite que se indiquen con posterioridad a la presentación de una solicitud nacional), comunicar el nombre y la dirección del inventor (consúltense los párrafos NP 4.030 y NP 4.031).

NP 4.002

Además de los actos que se describen en el párrafo NP 4.001, puede que se exija el cumplimiento de otros actos para que la solicitud internacional entre en la fase nacional, pero no es necesario que estos actos, que se precisan más adelante y en los Capítulos Nacionales relativos a cada Oficina designada, se realicen dentro del plazo establecido para efectuar la entrada en la fase nacional.

NP 4.003. ¿Qué consecuencias acarrea el incumplimiento de los actos exigidos para efectuar la entrada en la fase nacional?

Artículo 24.1).iii),

Artículo 39.2)

Si al vencer el plazo para efectuar le entrada en la fase nacional no se han realizado (todos) los actos exigidos, la solicitud internacional pierde los efectos de solicitud nacional y el procedimiento queda terminado con respecto a las oficinas ante las que (todos) estos actos no se hayan llevado a cabo. No obstante, el incumplimiento de los actos exigidos en una oficina no tiene incidencia alguna en los efectos de la solicitud internacional ante las demás oficinas. Si el solicitante decide no pasar a la fase nacional del procedimiento, la pérdida automática de los efectos evitará tener que retirar expresamente la solicitud internacional, o bien la designación o elección de un Estado determinado.

NP 4.004

Artículo 48.2),

Regla 49.6,

Regla 82bis

Si el solicitante no logra realizar a tiempo los actos exigidos, puede pedir a la Oficina designada que mantenga los efectos de la solicitud internacional y que se excuse el retraso (consúltense los párrafos NP 6.022 a NP 6.027).

TASAS NACIONALES

NP 4.005. ¿Cuáles son las tasas exigidas para efectuar la entrada en la fase nacional y cuándo deben abonarse?

Las tasas exigidas para efectuar la entrada en la fase nacional figuran en cada uno de los Capítulos Nacionales (Resumen y anexo relativo a las tasas). Estas tasas deben abonarse en la moneda y en los plazos que allí se indican. Si en el momento en que pudiera darse inicio a la fase nacional fuera exigible el pago de las tasas anuales o de las tasas de renovación, estas tasas deberán abonarse antes de que venza el plazo establecido para efectuar la entrada en la fase nacional. En los Capítulos Nacionales se brinda información a este respecto.

NP 4.006. ¿Cómo puede efectuarse el pago de las tasas nacionales?

Esta información figura en el anexo relativo a las tasas de cada Capítulo Nacional.

NP 4.007. ¿Tienen los solicitantes derecho a reclamar una exención, un descuento o el reembolso de las tasas nacionales?

Varias Oficinas designadas ofrecen exenciones, descuentos o reembolsos de las tasas nacionales. En cada Capítulo Nacional (Resumen) se indica si cabe reclamar exenciones, descuentos o reembolsos de las tasas y, si procede, en qué casos y hasta qué importe.

TRADUCCIÓN DE LA SOLICITUD INTERNACIONAL

NP 4.008. ¿En qué casos debe traducirse la solicitud internacional?

Si la solicitud internacional se ha presentado o publicado en un idioma que la Oficina designada no admite, se debe presentar una traducción de dicha solicitud.

NP 4.009. ¿A qué idioma debe traducirse la solicitud internacional?

Regla 49.1.a).i),

Regla 76.5

Los idiomas (o el idioma) que admiten las Oficinas designadas se indican en el Capítulo Nacional (Resumen) relativo a cada Oficina. Si se indican varios idiomas, se podrá escoger el idioma que más le convenga. Téngase en cuenta que el idioma en que se presenta la traducción de la solicitud internacional suele ser también el idioma que se utiliza a lo largo del procedimiento ante la Oficina designada.

NP 4.010. ¿Qué elementos debe incluir la traducción?

Regla 49.5.a),

Regla 49.5.k)

En la traducción deben figurar los siguientes elementos traducidos: la descripción, incluido el título de la invención (si la Administración encargada de la búsqueda internacional ha establecido o modificado el título, en la traducción solo debe figurar el título establecido o modificado por la Administración en cuestión), las reivindicaciones (consúltese el párrafo NP 4.014) y todos los textos de los dibujos (consúltese el párrafo NP 4.022), tal como se presentaron inicialmente o tal como se modificaron (consúltense los párrafos NP 4.014 a NP 4.017, NP 4.019 y NP 4.020). En los casos en que la Oficina receptora haya incorporado hojas por referencia (consúltense los párrafos NP 6.027 a NP 6.031 de la parte relativa a la fase internacional), la traducción debe contener estas hojas. En los Capítulos Nacionales (Resumen) se enumeran los elementos que deben incluirse en la traducción que exige cada una de las Oficina designadas. Para obtener información sobre la traducción del resumen y del petitorio, consúltense los párrafos siguientes.

NP 4.011. ¿Debe traducirse el resumen?

Regla 49.5.a)

Por regla general, el resumen también debe traducirse (si la Administración encargada de la búsqueda internacional ha establecido o modificado el resumen, en la traducción solo debe figurar el resumen establecido o modificado por la Administración en cuestión), pero algunas Oficinas no exigen su traducción para la fase nacional. Los Capítulos Nacionales (Resumen) relativos a aquellas oficinas que exigen una traducción del resumen contienen una indicación a este respecto.

NP 4.012. ¿Debe traducirse el petitorio?

Regla 49.5.a).i)

Las Oficinas designadas tienen derecho a exigir una traducción del petitorio, pero la mayoría no lo hace. Los Capítulos Nacionales (Resumen) relativos a aquellas oficinas que exigen una traducción del petitorio contienen una indicación a este respecto.

NP 4.013. ¿De qué manera se puede preparar la traducción del petitorio?

Regla 49.5.b)

El modo habitual de traducir el petitorio consiste en transferir los datos del petitorio de la solicitud internacional tal como se presentó a un formulario de petitorio en el idioma de la traducción. Todas las Oficinas designadas que exigen una traducción del petitorio deben proporcionar al solicitante, gratuitamente, una copia del formulario de petitorio en el idioma de la traducción. Cabe señalar que el uso del formulario de petitorio en el idioma de la traducción es facultativo, de modo que los solicitantes que no posean tal formulario pueden presentar la traducción en otro formato.

NP 4.013A. ¿Deben traducirse las declaraciones formuladas de conformidad con la Regla 4.17?

Regla 49.5.a).i)

Las declaraciones forman parte del petitorio y por tanto solo deberá presentarse una traducción de las declaraciones cuando la Oficina designada exija que se presente una traducción del petitorio (consúltense los párrafos NP 4.012 y NP 4.013).

NP 4.014. ¿Cuáles son las reivindicaciones que deben traducirse en caso de que se hayan modificado las reivindicaciones conforme al Artículo 19?

Regla 49.5.a).ii)

Las Oficinas designadas tienen derecho a exigir una traducción de las reivindicaciones tal como se presentaron inicialmente y tal como se modificaron conforme al Artículo 19. Cada Capítulo Nacional (Resumen) contiene información sobre los requisitos establecidos. Consúltese el párrafo NP 4.019 para obtener información sobre la traducción de las reivindicaciones modificadas conforme al Artículo 19 en caso de que la solicitud internacional haya sido objeto de examen preliminar internacional.

NP 4.015

Regla 49.5.c-bis)

Si una Oficina designada exige la traducción de las reivindicaciones tal como se presentaron y de las reivindicaciones modificadas conforme al Artículo 19, pero se presenta solo una de las dos traducciones, la Oficina designada puede optar entre no tomar en consideración las reivindicaciones que no se hayan traducido, o bien invitar al solicitante a que presente la traducción que falta dentro de un plazo prudencial dadas las circunstancias. Si se emite una invitación en ese sentido, pero no se presenta la traducción dentro del plazo establecido, la Oficina designada podrá optar entre no tomar en consideración las reivindicaciones no traducidas, o bien considerar que se ha retirado la solicitud internacional.

NP 4.016

Regla 49.5.l)

Los procedimientos que se describen en el párrafo NP 4.015 no se aplican en todas las Oficinas designadas. En los Capítulos Nacionales (Resumen) relativos a aquellas oficinas que exigen una traducción de las reivindicaciones tal como se presentaron inicialmente y de las reivindicaciones modificadas conforme al Artículo 19, se indica si la oficina en cuestión emite una invitación cuando no se presentan las dos traducciones y se precisan las consecuencias de no presentar las reivindicaciones traducidas que falten en respuesta a tal invitación.

NP 4.017. ¿Deben traducirse las declaraciones en las que se exponen las modificaciones efectuadas a las reivindicaciones conforme al Artículo 19?

Regla 49.5.c)

Estas declaraciones solo deben traducirse si así lo exige la Oficina designada (consúltese el Capítulo Nacional (Resumen)). El hecho de no presentar la traducción de la declaración explicativa no tendrá incidencia alguna en la solicitud internacional propiamente dicha; la única consecuencia posible es que la Oficina designada no tome en consideración tal declaración.

NP 4.018. ¿Deben traducirse las referencias al material biológico depositado?

Regla 49.5.h)

Cuando la descripción contenga una referencia de este tipo, su traducción será parte de la traducción de la descripción. Cuando la referencia no figure en la descripción, sino que se haya presentado en la hoja facultativa (consúltese el párrafo IP 11.075 de la parte relativa a la fase internacional) o se haya comunicado posteriormente, se deberá presentar una traducción de la referencia junto con la traducción de la solicitud internacional. Si el solicitante no presenta una traducción de la referencia, la Oficina designada puede invitarlo a que lo haga si lo considera necesario.

NP 4.018A. Must declarations or evidence submitted with a request for restoration of the right of priority during the international phase be translated?

Where the decision by the receiving Office to restore the right of priority is reviewed by the designated Office under Rule 49ter.1(d), that Office may require the applicant to prepare translations of any declaration or other evidence furnished to the receiving Office.

NP 4.019. What must be translated where the international application has been the subject of international preliminary examination?

Amendments to the description, claims or drawings under Article 34 that have been filed with the International Preliminary Examining Authority and have been taken into account for the establishment of the international preliminary report on patentability (Chapter II of the PCT) will be annexed to that report. Any amendments under Article 19 as well as replacement sheets containing rectifications of obvious mistakes authorized under Rule 91.1(b)(iii), will similarly be annexed to the report if they have been taken into account (that is, they will in general not be annexed to the report if they have been superseded by later amendments or considered as reversed by an amendment under Article 34. However, exceptionally where the International Preliminary Examining Authority considers that a superseding or reversing amendment goes beyond the disclosure in the international application as filed, the replacement sheet superseded or reversed by the most recent superseding or reversing amendment will nevertheless be annexed to the report, and the report will contain an indication of this as referred to in Rule 70.2(c)). A translation of the amendments annexed to the report must be furnished together with the translation of the international application within the applicable time limit under Article 39(1).

NP 4.020

Rule 70.16,

Rule 76.5(iv)

If there have been any amendments under Article 19 which are not annexed to the international preliminary report on patentability (Chapter II of the PCT), a translation of those amendments need not be furnished to most elected Offices. A few elected Offices do, however, require translations of amendments under Article 19 even if they are not annexed to the international preliminary report on patentability (Chapter II of the PCT) - refer to the various National Chapters (Summary) for details.

NP 4.021. Does the translation have to contain drawings?

Rule 49.5(a)(iii),

Rule 49.5(e),

Rule 76.5

No applicant is required to furnish original drawings to the designated Offices together with the translation of the international application. Offices may require only the furnishing of a copy of the original drawing(s), and few actually do so. The National Chapter (Summary) relating to each designated Office indicates this information. If the copy of the drawings is not furnished within the time limit for entering the national phase, the international application does not lose its effect, but the designated Office invites the applicant to furnish the missing copy.

NP 4.022. How must the translation of text matter in drawings be presented?

Rule 49.5(d),

Rule 49(f),

Rule 76.5

Where a drawing, a table or the like contains text matter, that text matter must be translated. There are two methods that may be used for the physical presentation of the translated text matter. One is to furnish new sheets of drawings, tables, etc., containing the translated text matter. The other is to paste the translation over the original text matter and to furnish a copy of that sheet. The latter method, however, requires the copy to be of good quality and fit for reproduction by the designated Office. If it is not, the designated Office may invite the applicant to correct the defect. The expression Fig. which is frequently used in drawings does not require translation into any language. If the translation of the text matter of the drawings is not furnished within the time limit for entering the national phase, the international application may lose the effect of a national application.

NP 4.023. What are the physical requirements for the translation?

Rule 49.5(j),

Rule 76.5

The translation of the international application and any copy of drawings must comply with the physical requirements prescribed by the designated Office. However, no such Office has the right to require compliance with requirements as to the form of the translation of the international application that are different from or additional to those laid down in the PCT and the Regulations for the filing of international applications. Therefore, if the papers furnished to the designated Office comply with the physical requirements for international applications, they must be accepted by that Office. For details of those physical requirements, refer to International Phase, paragraphs IP 5.177, IP 6.032 and IP 6.051.

NP 4.024. In how many copies must the translation be furnished?

Rule 51bis.1(c),

Rule 76.5

One copy of the translation is in principle sufficient for entering the national phase. There are some designated Offices, however, that require two or more copies. Where this is the case, it is mentioned in the National Chapter (Summary). If one or more copies are missing, those Offices will give the applicant an opportunity to furnish them once the national phase has started.

NP 4.025. Must the translation be certified?

Rule 51bis.1(d)(ii),

Rule 76.5

The translation of the international application furnished for entry into the national phase does not need to be certified by a public authority or a sworn translator. However, if later the designated Office reasonably doubts the accuracy of the translation, it may require the applicant to furnish a certification of the translation.

NP 4.026. Must the translation be verified?

Rule 51bis.1(d)(i),

Rule 76.5

Verification of a translation means that the translation must be accompanied by a statement signed by the applicant or by the translator, to the effect that, to the best of the signatory’s knowledge, the translation is complete and faithful. There are only a few designated Offices that require verification. For each such Office, the National Chapter (Summary) contains an indication to that effect and gives further details (including forms).

COPY OF THE INTERNATIONAL APPLICATION

NP 4.027. Must a copy of the international application be furnished by the applicant to the designated Office for entry into the national phase?

Under normal circumstances, none of the designated Offices requires a copy of the international application to be submitted by the applicant. There are only a few that do require a copy where the communication by the International Bureau of a copy of the international application under Article 20 has not, or could not yet have, taken place (for details, refer to the National Chapters (Summary)). That communication is effected by the International Bureau in accordance with Rule 93bis.1 but not prior to the international publication of the international application. The applicant is notified accordingly by means of Form PCT/IB/308 (First notice informing the applicant of the communication of the international application (to designated Offices which do not apply the 30 month time limit under Article 22(1)), and Form PCT/IB/308 (Second and supplementary notice informing the applicant of the communication of the international application (to designated Offices which apply the 30 month time limit under Article 22(1)). When the applicant receives these Forms, he/she does not have to furnish a copy of the international application to any of the designated Offices, since the notices are accepted by all of them as conclusive evidence that the communication has duly taken place on the date specified in the notice.

NP 4.028

On the other hand, where the applicant makes an express request for early processing of the international application (refer to paragraphs NP 2.006 and NP 3.004) before the communication of the international application has taken place, he/she must either furnish a copy of the international application, and of any amendment filed under Article 19 with the International Bureau, at the same time as making the express request for early processing to the designated Office or request the International Bureau to transmit a copy of the international application to the designated Office in accordance with Article 13(2)(b). The other acts prescribed for entering the national phase must naturally also be performed.

CHOICE OF CERTAIN KINDS OF PROTECTION

NP 4.029

Rule 49bis.1,

Rule 76.5

The filing of a request constitutes an indication that the international application is, in respect of each designated Office to which Article 43 or 44 applies, for the grant of every kind of protection which is available by way of the designation of that State. As a result, if the applicant wishes the international application to be treated in a designated Office as an application not for the grant of a patent but for the grant of another kind of protection available for the designated Office, or for the grant of more than one kind of protection, the applicant is required to indicate a choice of protection to the designated Office when performing the acts to enter the national phase. Similarly and within the same time limits, the applicant is required to make such indications also in cases where he/she wishes the international application to be treated in a designated Office as an application for a patent of addition, a certificate of addition, inventor's certificate of addition, a utility certificate of addition or as a continuation or a continuation-in-part. Although some designated Offices may require the applicant to furnish any such indications at the time the acts referred to in Article 22 or Article 39 are performed, many designated Offices would allow the applicant to furnish such indications or, where applicable, convert from one kind of protection to another, at a later time as provided by national law.

NAMING OF INVENTOR

NP 4.030. In which case must the name and address of the inventor be indicated for entry into the national phase?

Article 22(1)

If the name or address of the inventor or inventors has not been indicated in the request at the time of filing, that information must be furnished to the designated Offices at the time of entry into the national phase. If such indications are required, most of the designated Offices will invite the applicant to furnish them if he/she fails to do so on entering the national phase, but some Offices will not. Details are given in the National Chapters (Summary).

NP 4.031

Article 27(2)(ii),

Rule 51bis.1(a),

Rule 76.5

The indication of the name and address of the inventor is to be distinguished from other declarations of or concerning the inventor or the invention, etc. The latter are considered “special requirements” (refer to paragraphs NP 5.001 to NP 5.005) which may be complied with after entry into the national phase.

USE OF NATIONAL FORMS

NP 4.032. Is the use of national forms mandatory for entry into the national phase?

Rule 49.4,

Rule 76.5

No applicant may be required to use a national form to perform the acts prescribed for entry into the national phase. Several Offices do, however, keep such forms at the disposal of applicants, and their use is recommended. The National Chapters contain information about existing forms, and the annexes to the Chapters reproduce samples of them.

CHAPTER 5: SPECIAL REQUIREMENTS TO BE COMPLIED WITH IN CONNECTION WITH THE NATIONAL PHASE

GENERAL

NP 5.001. What is the meaning of “special requirements” and when do they have to be complied with?

No designated Office is allowed to require, before the expiration of the applicable time limit for entering the national phase, the performance of acts other than those referred to in Article 22(1), namely the payment of the national fee, the furnishing of a translation (if prescribed) and, in exceptional cases, the furnishing of a copy of the international application, and the indication of the name and address of the inventor (refer to paragraph NP 4.001). All other requirements of the national law, to the extent that they are admitted under Article 27, are referred to in this publication as “special requirements”. They may still be complied with after entry into the national phase. Rule 51bis indicates the most common of those requirements and provides that the applicant must be given an opportunity to comply with any such special requirement after the start of the national phase. This opportunity is usually given either by sending an invitation to comply with a certain special requirement within a time limit indicated in the invitation or by providing in the national law for a certain time limit within which the applicant must, without invitation, comply with the requirement.

NP 5.002

For each designated Office, the National Chapter (Summary) lists the special requirements, if any, which must be complied with in connection with entry into the national phase, and indicates whether the Office concerned will invite the applicant to comply or, if there is no invitation, what the time limit is for such compliance. It is highly recommended that any special requirement indicated in the National Chapter (Summary) be complied with at the time of performing the acts for entry into the national phase, because this is more economical and avoids the risk of forgetting to comply with the requirement later. The most common of the special requirements are explained in general terms in the following paragraphs. Details are given in each National Chapter (Summary).

CERTAIN DECLARATIONS CONCERNING THE INVENTOR, ASSIGNMENTS, ETC.

NP 5.003. What must be done to prove inventorship, the right to file the application or the like?

Depending on national law and practice, some designated Offices require the applicant to furnish:

(i) any document relating to the identity of the inventor;

(ii) any document relating to the applicant’s entitlement to apply for or be granted a patent;

(iii) any document containing proof of the applicant’s entitlement to claim priority of an earlier application where the applicant is not the applicant who filed the earlier application or where the applicant’s name has changed since the date on which the earlier application was filed;

(iv) any document containing an oath or declaration of inventorship;

(v) any evidence concerning non-prejudicial disclosures or exceptions to lack of novelty, such as disclosures resulting from abuse, disclosures at certain exhibitions and disclosures by the applicant during a certain period of time.

However, in general, a document referred to above will not be required if the applicant has furnished a declaration under Rule 4.17 (refer to paragraph NP 5.005). What may be required by a particular designated Office is indicated in the National Chapters (Summary). The annexes to the National Chapters contain forms that must or may be used for this purpose. Documents (other than declarations under Rule 4.17) required by designated Offices, must always be sent by the applicant to the designated Office concerned and should not be sent to the International Bureau, which, if it does receive them, keeps them in its files but does not transmit them to the designated Offices.

NP 5.004. When must requirements relating to matters such as inventorship, right to file, etc. be complied with?

In general, such requirements must be complied with within a time limit of at least two months from the date of an invitation that the designated Office must send to the applicant, in case the requirement concerned was not already complied with within the time limit for entering the national phase (refer to paragraphs NP 3.001 and NP 3.002). Certain designated Offices have, however, informed the International Bureau that the time limit of two months was not compatible with the applicable national law (refer to the relevant National Chapters (Summary)).

NP 5.005. What can be done in the international phase to simplify the processing of international applications in the national phase?

Rule 4.17,

Rule 51bis.2

The applicant may include in Box No. VIII of the request form one or more of the following declarations under Rule 4.17:

Rule 4.17(i),

Rule 51bis.1(a)(i)

— Box No. VIII(i): declaration as to the identity of the inventor (noting that such declaration need not be made in Box No. VIII(i) if the name and address of the inventor are indicated in the request, that is, usually in Boxes No. II and/or III);

Rule 4.17(ii),

Rule 51bis.1(a)(ii)

— Box No. VIII(ii): declaration as to the applicant’s entitlement, as at the international filing date, to apply for and be granted a patent;

Rule 4.17(iii),

Rule 51bis.1(a)(iii)

— Box No. VIII(iii): declaration as to the applicant’s entitlement, as at the international filing date, to claim priority of the earlier application;

Rule 4.17(iv),

Rule 51bis.1(a)(iv)

— Box No. VIII(iv): declaration of inventorship (only for the purposes of the United States of America), noting that that declaration must be signed;

Rule 4.17(v),

Rule 51bis.1(a)(v)

— Box No. VIII(v): declaration as to non-prejudicial disclosures or exceptions to lack of novelty.

Where the request contains a declaration complying with Rule 4.17(i) to (iv), a designated Office may not (except if it has informed the International Bureau to the contrary) require any document or evidence relating to the subject matter of that declaration (refer to paragraph NP 5.003) unless it reasonably doubts the veracity of the declaration concerned. In the case of a declaration as to non-prejudicial disclosures or exceptions to lack of novelty made under Rule 4.17(v), the designated Offices concerned are always entitled to require further documents of evidence. For further details, refer to International Phase, paragraphs IP 5.074 to IP 5.080.

REPRESENTATION

NP 5.006. Must the applicant be represented by an agent for the national phase?

Article 27(7),

Rule 51bis.1(b),

Rule 76.5

Most designated Offices require non-resident applicants to be represented by an agent; others require non-resident applicants to have an address for service in the country. The National Chapters (Summary) indicate whether an agent must be appointed or whether an address for service is required.

NP 5.007. When and how must the agent be appointed?

Article 27(7),

Rule 51bis.1(b),

Rule 76.5

It is highly recommended that an agent be appointed for the performance of the acts for entry into the national phase. An address for service, where required, should also be indicated at the time of performing those acts. As for any obligation to be represented by an agent or to have an address for service, it applies only once the national phase has started. The appointment of an agent must be made in a power of attorney signed by the applicant(s). Model powers of attorney are contained in the annexes to the National Chapters and on the website at https://www.wipo.int/en/web/pct-system/forms/pa/index.

NP 5.008. Who may act as an agent for the national phase?

Article 27(7)

The reply to this question is given for each designated Office in the National Chapter (Summary). Lists with names and addresses of agents may be obtained from the designated Offices, but not from the International Bureau.

PRIORITY DOCUMENT: COPY AND TRANSLATION

NP 5.009. When must a copy of the priority document be furnished for the national phase?

Rule 17.2(a)

The priority document must be submitted during the international phase to the receiving Office or to the International Bureau, and the International Bureau makes it available to designated Offices (for details, refer to International Phase, paragraph IP 5.070). Where the priority document has been submitted within the time limit during the international phase to the receiving Office or to the International Bureau, no designated Office may require an original priority document (that is, an original certified copy of the earlier application) from the applicant. What may be required, however, is a copy of the priority document, that is, a simple photocopy of the original priority document (consisting of a copy of both the earlier application and the certificate of its filing date), together with a translation of the priority document (refer to paragraph NP 5.010).

NP 5.010. When must a translation of the priority document be furnished for the national phase?

A designated Office may require the applicant to furnish a translation of the priority document only where the validity of the priority claim is relevant to the determination of whether the invention concerned is patentable; and for the determination of whether an element or part that has been incorporated by reference, pursuant to Rules 4.18 and 20.6, is completely contained in the priority document concerned. In addition, where a part of the description, claims or drawings was incorporated by reference, the designated Office may also require the applicant to furnish an indication as to where the given part is contained in the translation of the priority document.

CHAPTER 6: MISCELLANEOUS QUESTIONS CONCERNING THE NATIONAL PHASE

SUBSTANTIVE CONDITIONS OF PATENTABILITY

NP 6.001. What is the effect of the PCT on the substantive conditions of patentability applied in the national phase?

Article 27(5),

Article 27(6),

Article 33(5)

The PCT leaves each Contracting State free to determine substantive conditions of patentability. This is particularly true for what constitutes “prior art”. However, since the requirements of prior art as defined in the PCT and its Regulations for the purposes of the international phase are generally as strict as, or stricter than, those defined in any national law, the chances of unpleasant surprises by way of previously uncited prior art references being raised during the national phase are substantially reduced. On the other hand, the PCT does not prevent any national law from requiring the applicant to furnish, in the national phase, evidence in respect of any substantive condition of patentability in that law.

CORRECTION OF TRANSLATION

NP 6.002. May the applicant correct errors in the translation of the international application?

Where the translation of the international application contains an error, that error may be rectified, during the national phase, before all designated Offices.

NP 6.003

Article 46

The scope of the translation of the international application may not, however, exceed the scope of the international application in its original language. Where, for example, as a result of incorrect translation, the scope of the international application in the language of the translation is narrower than in its original language, that scope may be broadened but must not exceed the original scope. Where the scope of the translation is broader than that of the international application in its original language, the designated Office or any other competent authority of the designated State may limit accordingly the scope of the international application or of a patent resulting from it.

RESTORATION OF THE RIGHT OF PRIORITY

NP 6.004. What are the effects of a decision by a receiving Office to restore the right of priority on designated Offices?

Rule 49ter.1

A decision by a receiving Office to restore a right of priority based on the criterion of “due care” will, as a general rule, be effective in all designated Offices, unless the designated Office submitted a notification of incompatibility under Rule 49ter.1(g) (refer to paragraph NP 6.005). A decision by a receiving Office to restore a right of priority based on the criterion of “unintentionality” will be effective only in those designated States the applicable laws of which provided for restoration of the right of priority based on that criterion or on a criterion which, from the viewpoint of applicants, is more favorable than that criterion. A decision by a receiving Office to refuse to restore the right of priority can always be reviewed by a designated Office (refer to paragraph NP 6.006), unless it has submitted a notification of incompatibility under Rule 49ter.1(g), such that restoration is not possible in that jurisdiction.

In addition, a review of a positive decision may be made by a designated Office in the limited situation where it reasonably doubts that one of the substantive requirements for restoration was complied with. No review is permitted on purely formal grounds, such as, for example, the ground that the relevant fee in the international phase might not have been paid.

NP 6.005. What are the consequences of a decision by a receiving Office to restore the right of priority on a designated Office which has made a notification of incompatibility?

Rule 49ter.1(g)

Several designated Offices have notified the International Bureau under Rule 49ter.1(g) of the incompatibility of Rule 49ter.1(a) to (d) with the national law applied by that Office. As a result, these designated Offices will not be obliged to give effect to the decision by a receiving Office to restore the right of priority for the purposes of the procedure before that designated Office as outlined above. A list of Offices which have notified the International Bureau of incompatibility of their national law with Rule 49ter.1 can be found on WIPO’s website at https://www.wipo.int/en/web/pct-system/texts/reservations/res_incomp#R_49ter_1_g.

NP 6.006. Can a request to restore the right of priority also be filed directly with a designated Office?

Rule 49ter.2

A request to restore the right of priority can also be filed directly with a designated Office once the applicant has entered the national phase before that Office. The applicant may wish to rely on this opportunity if he/she could not file a request to restore the right of priority with the receiving Office because of the operation of Rule 26bis.3(j), or obtain the restoration of the priority right on the desired criterion because of the criterion for restoration applied by the receiving Office, or because the receiving Office has refused the request to restore filed with it (refer to Rule 49ter.1(e)). Several designated Offices have, however, notified the International Bureau under Rule 49ter.2(h) of the incompatibility of Rule 49ter.2(a) to (g) with the national law applied by that Office. As a result, these designated Offices will not accept a request to restore the right of priority filed with it. A list of Offices which have notified the International Bureau of the incompatibility of their national law with Rule 49ter.2 can be found on WIPO’s website at https://www.wipo.int/en/web/pct-system/texts/reservations/res_incomp#R_49ter_2_h.

NP 6.007. What is the applicable time limit to request restoration of the right of priority with a designated Office?

Rule 49ter.2(b)(i),

Rule 49ter.2(f)

The time limit for complying with the requirements for requesting the restoration of the right of priority is at least one month from the applicable time limit under Article 22 for entering the national phase, though designated Offices are free to apply longer time limits where permitted under their national law (Rule 49ter.2(f)). Where the applicant makes an express request for entry into the national phase under Article 23(2), the time limit of one month starts from the date of receipt of that request by the designated Office. If the designated Office requires the applicant to provide a declaration or evidence in support of the statement of reasons for failure to timely file the international application, it allows the applicant a reasonable time under the circumstances to furnish such documents.

NP 6.008. How should a request for the restoration of the right of priority be filed with the designated Office?

Rule 49ter.2(b),

Rule 49ter.2(f)

The request to restore the right of priority must be submitted by way of a letter to the designated Office.

For the request to restore the right of priority to be successful, the following requirements must be met:

— the international application must contain a priority claim to an earlier application and the international application must have been filed within two months from the expiration of the priority period. If the international application did not contain the relevant priority claim at the time of filing, such a claim must have been added, pursuant to Rule 26bis.1(a) (refer to International Phase, paragraphs IP 6.038 to IP 6.040), before the expiration of the time limit under Rule 26bis.3(e) (Rule 26bis.3(c));

— the request to restore should state the reasons for the failure to file the international application within the priority period (refer to paragraph NP 6.010). The statement of reasons should be drafted in light of the restoration criterion which the applicant seeks to satisfy, from among those applied by the Office (refer to paragraph NP 6.009);

— the request must be accompanied by any fee for requesting restoration required by the designated Office (refer to National Chapter, Annex I for whether a particular designated Office requires such a fee);

— if required by the designated Office and subject to an invitation by the Office, a declaration or other evidence in support of the statement of reasons must be furnished (Rule 49ter.2(c)) (for the applicable time limit, refer to paragraph NP 6.007).

NP 6.009. What are the criteria for restoration applied by the designated Office?

Rule 49ter.2(a),

Rule 49ter.2(f)

There are generally two criteria for restoration: either the failure to file the international application within the priority period occurred in spite of due care required by the circumstances having been taken or the failure to file the international application within the priority period was unintentional. All designated Offices to which these Rules are applicable (refer to paragraph NP 6.006) must apply at least one of these criteria, or else one more favorable from the point of view of the applicant. If a designated Office wishes, it may apply both criteria for restoration.

NP 6.010. What needs to be included in the statement of reasons for the request to restore the right of priority?

Rule 49ter.2(b)(ii)

The statement should indicate the reasons for the failure to file the international application within the priority period. It should contain all the relevant facts and circumstances which would allow the designated Office to determine that the failure to file the international application within the priority period occurred in spite of due care required by the circumstances having been taken or was unintentional.

NP 6.011. Will there be an opportunity to convince the designated Office that it should not refuse the request?

Rule 49ter.2(e)

If the designated Office intends to refuse the request for the restoration of the priority claim, it is required to notify the applicant of its intention. The applicant must be given an opportunity to make observations on the intended refusal within a reasonable time limit, specified in the notification of intended refusal. Note that this notification may in practice be sent to the applicant together with an invitation to file a declaration or other evidence.

INCORPORATION BY REFERENCE OF MISSING OR CORRECT ELEMENTS OR PARTS

NP 6.012. Will pages which have been accepted as incorporated by reference by the receiving Office be accepted by the designated or elected Office?

Rule 82ter.1

Designated and elected Offices may, to a limited extent, review decisions by receiving Offices which have allowed incorporation by reference (Rule 82ter.1(b)). If the designated or elected Office finds that the applicant did not comply with its obligation to furnish or arrange for the furnishing of a priority document; the statement of incorporation was missing or not submitted with the request; no written notice confirming incorporation by reference was submitted; no required translation furnished; or the element or part in question was not completely contained in the priority document, the designated or elected Office may treat the international application as if the international filing date had been accorded on the basis of the date on which the sheets containing the missing or correct element or part were submitted, but only after having given the applicant the opportunity to make observations on this outcome, in which case the applicant may request that the missing part or the correct element or part which had been furnished be disregarded, in accordance with Rule 82ter.1(d). Similarly, those designated Offices which have submitted notifications of incompatibility under Rule 20.8(b) or 20.8(b-bis) (refer to International Phase, paragraph IP 6.027) may, pursuant to Rule 20.8(c), also treat the international application as if the international filing date had been accorded without the benefit of the incorporation by reference but also only after having given the applicant the opportunity to make observations on this outcome, in which case the applicant may request that the missing part or the correct element or part which had been furnished be disregarded.

AMENDMENT OF THE INTERNATIONAL APPLICATION FOR THE NATIONAL PHASE

NP 6.013. May the applicant amend the international application for the national phase?

The PCT guarantees the applicant an opportunity to amend the claims, the description and the drawings before any designated Office. Although the applicant has already had the opportunity to amend the claims in the international phase, he/she may wish to make further amendments, which may be different for the purposes of the various designated Offices, in the national phase, or he/she may wish to amend also the description or the drawings (which is not possible during the international phase unless the applicant has made a demand for international preliminary examination). All designated and elected Offices are obliged to permit such amendments for at least one month from the time when the applicant enters the national phase. That minimum time limit may be later in certain exceptional circumstances specified in Rules 52.1 and 78. In any event, most designated and elected Offices permit amendments at any time during the national examination procedure (if applicable). In certain designated or elected Offices, where examination must be specifically requested, the request for making amendments may only be made after the applicant has entered the national phase. The National Chapters give additional indications in this respect.

NP 6.014. May the applicant correct obvious mistakes in the international application for the national phase?

Rule 91.3(f)

Normally, any obvious mistake in the description, claims and drawings may be corrected before the designated Office. The correction can be presented as an amendment (refer to paragraph NP 6.013), provided that the scope of the international application as originally filed is not thereby broadened.

NP 6.015. What are the effects of the authorization of an obvious mistake on the designated and elected Offices?

Rule 91.3(e),

Rule 91.3(f)

Generally, designated and elected Offices must process the international application in the national phase “as rectified”, unless that designated or elected Office has already started the processing or examination of the international application before the date on which that Office is notified under Rule 91.3(a) by the International Bureau of the authorization of the rectification concerned. Otherwise, a designated or elected Office may disregard a rectification that was authorized under Rule 91.1 if it finds that it would not have authorized the rectification if it had been the competent authority (refer to Rule 91.3(f)). The designated Office may, however, only disregard any rectification that was authorized during the international phase, if it has given the applicant an opportunity to make observations, within a reasonable time limit, on the Office’s intention to disregard the rectification.

NP 6.016

Where the authorization of rectification has been refused during the international phase and the applicant has made a request for publication under Rule 91.3(d) (refer to the International Phase, paragraph IP 11.043), he/she should repeat the request for rectification before each designated Office in a language admitted by that Office.

NP 6.017

The conditions for allowing the rectification of an obvious mistake depend on the national law and practice applied by the designated Offices. Applicants are advised to inquire at the Offices concerned regarding the conditions applicable.

REVIEW IN THE NATIONAL PHASE OF CERTAIN DECISIONS MADE DURING THE INTERNATIONAL PHASE

NP 6.018. In which case may a request for review be made?

Article 25

A review by the designated Office of the following decisions may be requested:

(i) the receiving Office has refused to accord an international filing date to the international application because of certain defects in that application;

(ii) the receiving Office has declared that the international application is considered withdrawn because of certain defects in that application or because of non-payment of the prescribed fees;

(iii) the International Bureau has made a finding that the international application is considered withdrawn because it has not received the record copy within the prescribed time limit.

Article 25(2)(a)

Thus, those decisions that may have been made during the international phase and affect the international application as such are subject to review by each designated Office. Review by the designated Office consists of an examination to ascertain whether the receiving Office’s refusal or declaration or the International Bureau’s finding was the result of an error or omission on the part of the authority concerned.

NP 6.019. How may the right to request a review be exercised and when?

In any of the three cases referred to in paragraph NP 6.018, the applicant must, if he/she wants the decision to be reviewed,

Article 25(1)(b)

(i) request the International Bureau, under Article 25, to send to each designated Office specified by him/her a copy of any relevant document in the file; this request must be in English or French;

Article 25(2)(a),

Rule 51.2

(ii) request each of those designated Offices, separately, to review the decision affecting his/her international application, giving the facts and evidence indicating an error or omission on the part of the receiving Office or of the International Bureau, as the case may be; in addition, and at the same time (refer to paragraph NP 6.020), the applicant must pay to the said designated Office the national fee for entry into the national phase, and furnish a translation of the international application where required; for details about fees and required translations, refer to the National Chapters (Summary); the request to the designated Office must be in a language accepted by that Office; where the review requested concerns the refusal to accord an international filing date, the applicant must attach to the request a copy of the notice of the refusal.

NP 6.020

Rule 51.1,

Rule 51.3

Both the request to the International Bureau and the request to any designated Office together with any required translation and fee must reach the authority concerned within two months from the date of the notification informing the applicant of the unfavorable decision.

NP 6.021. What may be the result of a review by the designated Office?

Article 24(2),

Article 25(2)(a),

Article 48(2)

If the applicant has complied with the requirements outlined in the preceding paragraphs, the designated Office will make a finding on whether the decision was justified and, if it finds that it was the result of an error or omission, it must treat the international application as if that error or omission had not occurred, and maintain the effect of the international application as a regular national application as of the international filing date. If it finds that the decision was not the result of an error or omission, it may nevertheless maintain the effect of the international application under Article 24(2). The latter may be the case where the decision was the result of failure to meet a prescribed time limit (such as for the furnishing of corrections or the payment of fees); in such a case, the applicant is advised to request the designated Office not only to review the decision but also to excuse the delay. Details on the excusing of delays in meeting time limits are given in the following paragraphs.

EXCUSING OF DELAYS IN MEETING TIME LIMITS

NP 6.022. Can a delay in meeting a time limit be excused?

Article 48(2),

Rule 82bis

A delay in meeting a time limit which has resulted in the international application being considered withdrawn, during either the international phase or the national phase, may be excused under certain circumstances. The excusing of a delay is understood as any decision which has the effect of the international application being treated as if the time limit had not been exceeded. The excusing of a delay cannot be requested during the international phase, however. It may be granted only in the national phase (for delays in both the international phase and the national phase) by each designated Office individually, and only as far as that Office is concerned. The conditions laid down by the national law of each designated Office are paramount in determining whether a delay must be or may be excused. All national provisions related to the excusing of delays must be applied to international applications in the same way and under the same conditions as they are to national applications. Examples of such provisions are those that allow for the reinstatement of rights, restoration, restitutio in integrum, revival of abandoned applications, further processing, continuation of proceedings, and so on.

NP 6.023. In respect of which time limits may delays be excused?

Rule 82bis.1

The time limits concerned are all those fixed in the PCT (Treaty and Regulations) and also any time limit fixed by a PCT authority and any time limit either fixed by, or in the national law applicable by, the designated Office for the performance of any act by the applicant before that Office, including the time limit for entering the national phase.

NP 6.024. What must be done by an applicant who has exceeded the time limit for entering the national phase and/or who failed to perform the acts referred to in Article 22 or 39(1) within the applicable time limit?

Article 48(2),

Rule 49.6,

Rule 82bis.2

Contracting States are required under Rule 49.6 to provide for the possibility to reinstate the rights of the applicant with respect to an international application where the applicant failed to comply with the requirements of Article 22 or 39(1). Details of this possibility are given in Rule 49.6. Some Contracting States have notified the International Bureau, under Rule 49.6(f), of the incompatibility of this Rule with their national laws. A table of such notifications is available on WIPO’s website at: https://www.wipo.int/en/web/pct-system/texts/reservations/res_incomp#R_49_6_f. Once a State has taken the necessary actions to amend its national law, notification of this will be published in the Official Notices (PCT Gazette) and the table will be updated. Moreover, even if a Contracting State has made a notification under Rule 49.6(f), the applicant is advised to check with the Office concerned whether a system to reinstate rights with respect to an application exists or not. Some States have made notifications only because their national laws already contain provisions for the reinstatement of rights but these provisions are not in line with the contents of Rule 49.6. Some States therefore have no procedure in place to reinstate rights with respect to an application whereas others do have such systems, either more or less favorable to the applicant than Rule 49.6.

NP 6.025. What must be done by the applicant who has exceeded a time limit?

Article 48(2),

Rule 51.1,

Rule 51.3

The applicant must perform all acts required for entry into the national phase (refer to paragraphs NP 4.001 to NP 4.031). The applicant must at the same time request the designated Office to excuse the delay and to maintain the effect of the international application before it. The procedure depends on the national requirements applicable, including any time limit for filing a request to excuse the delay. Those requirements are indicated in the National Chapter. Applicants can usually be sure of meeting any such time limit when the request to excuse is made and the acts for entering the national phase are performed either within two months from the date of the notification of the unfavorable decision or within two months from the date on which the time limit (such as the time limit for entering the national phase) expired.

NP 6.026

Article 24(2),

Article 48(2)

The request for a delay to be excused should be made in addition to, and together with, any request for the review of a decision made by the receiving Office declaring the international application withdrawn for failure to comply with any requirement within a certain time limit (refer to paragraphs NP 6.018 to NP 6.021). Should the designated Office confirm the decision made by the receiving Office, it may nevertheless maintain the effect of the international application because, under its national law, the delay may be excused in accordance with provisions for the reinstatement of rights, the revival of an abandoned application, the continuation of proceedings or the like. It should be noted that, as outlined in the preceding paragraphs, the applicant must, before each Office concerned, fulfill all the conditions in the applicable national law, including the making of the request for a delay to be excused within any time limit prescribed by the national law.

NP 6.027. Must the late arrival of a document caused by irregularities in the mail service be excused?

Article 48(1),

Rule 82

If a time limit fixed in the Treaty or the Regulations is exceeded because of the delayed arrival of a document or letter, it must be excused if it was caused by a delay in the mail or by an interruption of the mail service, provided that sufficient evidence is produced and the mailing was by mail registered with the postal authorities or with any delivery service notified by the designated Office to the International Bureau. Similarly, and under the same conditions, a new copy of a document or letter may be substituted for a document or letter lost in the mail, provided that the replacement document or letter is proved to be identical with the one lost. For details, refer to Rule 82.

RECTIFICATION OF ERRORS MADE BY THE RECEIVING OFFICE OR BY THE INTERNATIONAL BUREAU

NP 6.028. Which errors made by the receiving Office or the International Bureau may be rectified?

Rule 82ter

If the receiving Office has made an error in according the international filing date or if the priority claim in the request has been erroneously considered by the receiving Office or the International Bureau not to have been made, the designated Office must rectify the error if it is one that it would have rectified in accordance with its national law or national practice had it made the error itself.

NP 6.029. What must be done to request rectification of such an error and when?

The applicant must request the designated Office to rectify the error and must prove, to the satisfaction of that Office, that the international filing date accorded by the receiving Office is incorrect owing to an error made by the receiving Office, or that a priority claim has erroneously been considered not to have been made by the receiving Office or the International Bureau. The request should be made on entering the national phase.

ACTS TO BE PERFORMED DURING THE NATIONAL PHASE

NP 6.030. What has to be done by the applicant once the national phase has started?

The usual national procedure applies to international applications during the national phase. What is said in the following text and in the National Chapter (Summary) concerns only the acts that must be performed for entry into the national phase and those acts that should be performed on entering the national phase but may still be performed once it has started. What has to be done thereafter-at least the main procedural steps-is outlined for each designated Office in the relevant National Chapter (Summary). Applicants who are not familiar with the patent procedure before a certain designated Office should seek professional advice even where they are not obliged to be represented before that Office by an agent.

CORRESPONDENCE WITH AND PAYMENTS TO DESIGNATED OFFICES

NP 6.031. How should the international application be identified?

All documents sent and all payments of fees to a designated Office (and any letter accompanying such documents or payments) should indicate - if already known - the national serial number given to the international application by the designated Office. Where the national number is not yet known (or not given), the international application number should be indicated, preferably together with the international filing date, the name of the applicant and the title of the invention.

DEPOSIT OF BIOLOGICAL MATERIAL

NP 6.032. What are the requirements regarding deposits of biological material?

Annex L contains details of designated Offices’ requirements regarding deposits of biological material.

FURNISHING OF A NUCLEOTIDE AND/OR AMINO ACID SEQUENCE LISTING

NP 6.033. What requirements need to be satisfied in relation to the furnishing of a sequence listing?

Annex C of the Administrative Instructions,

Rule 13ter.1(a),

Rule 13ter.3,

Rule 49.5(a-bis)

No designated Office may require that the applicant furnish a nucleotide and/or amino acid sequence listing in a format other than that complying with the standard provided for in Annex C of the Administrative Instructions (WIPO Standard ST.26). Where the international application contains a sequence listing which does not comply with the standard and/or the language-dependent free text is not in a language accepted by the Office, any designated Office may require the applicant to furnish a sequence listing or a translation complying with those requirements.

REQUEST FOR ACCELERATED EXAMINATION PROCEDURE

NP 6.034. Is an accelerated examination procedure available to all applicants in the national phase?

Where applicants have received a positive international preliminary report on patentability (under Chapter I or II) in respect of their international application, they may request fast-track examination before certain Offices which participate in the Patent Prosecution Highway or offer accelerated examination based on positive PCT work products from other Offices. For further information refer to https://www.wipo.int/en/web/pct-system/filing/pct_pph.

Cambios vigentes a partir del 4 de septiembre de 2025
Please find below in (resaltados en azul all the changes done in this version (including editorial changes).

CAPÍTULO 1 : CÓMO UTILIZAR LA PARTE RELATIVA A LA FASE NACIONAL DE LA GUÍA DEL SOLICITANTE DEL PCT

NP 1.003

i) un resumen de los requisitos para entrar en la fase nacional, en el que se citan los requisitos particulares que exige cada Oficina designada (o elegida) en relación con la entrada en la fase nacional, como se describe a continuación;

ii) una descripción del procedimiento en el marco de la fase nacional, en la que se citan de manera general los trámites principales que habrán de efectuarse ante la oficina correspondiente una vez iniciada la fase nacional; también en esta parte se aportan precisiones suplementarias sobre determinados requisitos particulares mencionados en el resumen, así como información sobre las tasas pagaderas y los formularios nacionales que los solicitantes pueden o deben utilizar en el marco de la entrada en la fase nacional o durante la fase nacional;

iii) anexos, que contienen las tablas de las tasas mencionadas en los Capítulos Nacionales, indicaciones sobre el modo de pago de las tasas a la Oficina y ejemplos o modelos de los formularios que los solicitantes pueden utilizar en la fase nacional (las oficinas interesadas aceptan fotocopias de dichos formularios).

CAPÍTULO 5 : EXIGENCIAS ESPECIALES QUE DEBEN CUMPLIRSE EN EL MARCO DE LA FASE NACIONAL

NP 5.007. ¿Cuándo y cómo se debe nombrar al mandatario?

Se recomienda encarecidamente nombrar a un mandatario para que ejecute los actos relativos a la entrada en la fase nacional. Además, deberá indicarse una dirección de contacto, cuando proceda, en el momento de realizar dichos actos. En caso de que se exija a los solicitantes que estén representados por mandatarios o que indiquen una dirección de contacto, esta exigencia solo se aplicará una vez que se haya iniciado la fase nacional. El nombramiento de un mandatario debe efectuarse mediante un poder notarial firmado por el o los solicitantes. Pueden consultarse algunos modelos de poderes notariales en los anexos de los Capítulos Nacionales y en la siguiente dirección del sitio web de la OMPI: https://www.wipo.int/en/web/pct-system/forms/pa/index.

Procesando

WIPO - PCT Applicant's Guide Introducción a la fase nacional

ÍNDICE

CAPÍTULO 1 : CÓMO UTILIZAR LA PARTE RELATIVA A LA FASE NACIONAL DE LA GUÍA DEL SOLICITANTE DEL PCT

CAPÍTULO 2 : ENTRADA EN LA FASE NACIONAL (GENERALIDADES)

CAPÍTULO 3 : PLAZO PARA EFECTUAR LA ENTRADA EN LA FASE NACIONAL

CHAPTER 4: ACTS TO BE PERFORMED FOR ENTRY INTO THE NATIONAL PHASE

CHAPTER 5: SPECIAL REQUIREMENTS TO BE COMPLIED WITH IN CONNECTION WITH THE NATIONAL PHASE

CHAPTER 6: MISCELLANEOUS QUESTIONS CONCERNING THE NATIONAL PHASE

Procesando

WIPO - PCT Applicant's Guide Introducción a la fase nacional

Información

Error Information Warning Confirmation

Todas las versiones disponibles para PCTNP -

2025