UNITED STATES PATENT AND TRADEMARK OFFICE An Agency of the Department of Commerce
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1 UNITED STATES PATENT AND TRADEMARK OFFICE An Agency of the Department of Commerce Filing a communication with the United States Receiving Office (RO/US) or with the United States International Searching Authority (ISA/US) relating to a previously filed PCT international application July 2010 Table of Contents PCT Help Desk...1 Electronic filing requirements...2 Chapter I fee payment...2 The following documents may be filed when communicating with the RO/US...2 The following documents may be filed when communicating with the ISA/US... 5 Rarely, Chapter I communication for which no other document code is applicable... 6 PCT Help Desk For any questions relating to PCT documents, please contact the PCT Help Desk. Phone: (571) Hours: Monday Friday 9:00 a.m. to 4:30 p.m. Fax: (571) Hours: 24 hours/day
2 Electronic filing requirements The required page size for a PCT international application filed via EFS-Web in pdf format is A4. See PCT Rule All pdf documents submitted via EFS-Web must have a minimum resolution of 300 dpi. Additional documents must not be added to the PCT Easy zip file. Chapter I fee payment ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please be advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your information, it is recommended paying fees online by using the electronic payment method. Chapter I fee payment made in response to an invitation (PCT/RO/102 or PCT/RO/133 issued by the RO/US; and, PCT/ISA/206 issued by the ISA/US) or spontaneously May be made electronically via the fee payment screens. May be made on the Request fee calculation sheet annex, including an authorization to charge a deposit account. and PCT General Transmittal Document code description: Fee payment international application The following documents may be filed when communicating with the RO/US Chapter I Transmittal letter (e.g., PTO-1382) Document code description: PCT transmittal letter Chapter I Fee calculation sheet and Application Part Document code description: RO/101 annex (fee calculation sheet) United States Patent and Trademark Office Page 2 of 6
3 Chapter I Request for status of international application Document code description: Request for status of application Chapter I Confirmation of incorporation by reference under PCT Rule 20.6 and PCT Petition Document code description: Confirmation of incorporation by reference Chapter I Request for rectification under PCT Rule 91 Document code description: Request for rectification IA Chapter I Request for recording a change under PCT Rule 92bis Document code description: Request for recording of a change/pct Rule 92bis Chapter I Response to invitation to correct defects (response to Form PCT/RO/103). Substitute sheets of the Request Document code category: PCT Form and PCT Change Request Document code description: Substitute Sheets of Request (Form PCT/RO/101) Statement explaining lack of signature and PCT Application Part Document code description: Statement explaining lack of signature IA Abstract (missing from initial application documents) Document code description: Abstract Substitute sheets of drawings Document code description: Substitute Drawings Substitute sheets of description and/or claims Document code description: Substitute Sheets IA United States Patent and Trademark Office Page 3 of 6
4 Chapter I Response to invitation to correct priority claim (response to Form PCT/RO/110) Chapter I Request to modify (change or add) a priority claim under PCT Rule 26bis Document code description: Priority claim adjustment under PCT Rule 26bis Chapter I Request to withdraw priority claim Document code description: Request to withdraw priority claim IA Chapter I Request to restore the right of priority under PCT Rule 26bis.3 and PCT Petition Document code description: Evidence for restore of priority claim Chapter I Response to invitation to select competent ISA (response to Form PCT/RO/132 or PCT/ISA/224 issued by non-competent ISA) Letter selecting an ISA where the applicant has either not selected an ISA or the ISA that applicant selected does not search the subject matter of the international application. Document code description: CHI Select competent ISA/Resp Invitation Chapter I Power of attorney s and PCT Application Part Document code description: Power of attorney Chapter I General power of attorney s and PCT Application Part Document code description: Power of attorney Chapter I Copy of legal entity resolution (e.g., corporation) delegating authority to sign legal documents on behalf of the legal entity and Application Part Document code description: Corp resolution/auth to act on behalf of corp Chapter I Reference to deposited microorganisms or biological material (e.g., PCT/RO/134) United States Patent and Trademark Office Page 4 of 6
5 Document code description: RO/134 deposited microorganisms/bio material Chapter I Request to withdraw the international application Document code description: Request to withdraw IA Chapter I Request to withdraw as attorney Document code description: Request to withdraw as attorney IA Chapter I Request to withdraw designation Document code description: Request to withdraw designation IA Chapter I Request to withdraw priority claim Document code description: Request to withdraw priority claim IA Chapter I Petition for review and processing by the PCT legal office Document code category: PCT Petition Document code description: Petition for review by the PCT legal office Chapter I Request for reconsideration Document code description: PCT Request for reconsideration IA The following documents may be filed when communicating with the ISA/US Chapter I Response to invitation to pay additional search fees (response to PCT/ISA/206 issued by the ISA/US) Letter of explanation in response to invitation. Document code description: Response to Form PCT/ISA/206 Unity of invention Payment of fees for additional inventions in response to invitation. May be made electronically via the fee payment screens. United States Patent and Trademark Office Page 5 of 6
6 May be made by uploading a document giving authorization to charge a deposit account. Should include letter of explanation. Document code description: Response to Form PCT/ISA/206 Unity of invention Chapter I Response to invitation related to sequence listing and/or statement (response to PCT/ISA/225) The sequence listing must be provided in the same format as the originally filed international application. For example, if the original application was filed in paper, then the sequence listing must be filed in pdf via EFS-Web together with the statement under PCT Rule 13ter. A sequence listing may be submitted as a single text file which will not be included in the number of sheets of the international application and which will be used for purposes of search. Document code description: Sequence listing (text file) Alternatively, a sequence listing may be submitted in pdf format which sheets will be included in the number of sheets of the international application (and which will require a text file of the sequence listing and statement of identity for purposes of search). Document code description: Sequence listing Rarely, Chapter I communication for which no other document code is applicable Rarely, there may be a Chapter I communication for which no other document code is applicable Document code category: PCT General transmittal Document code description: Misc incoming letter from applicant international application United States Patent and Trademark Office Page 6 of 6
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