-CITE- 35 USC CHAPTER 37 - NATIONAL STAGE 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- CHAPTER 37 - NATIONAL STAGE -MISC1- Sec. 371. National stage: Commencement. 372. National stage: Requirements and procedure. 373. Improper applicant. 374. Publication of international application. 375. Patent issued on international application: Effect. 376. Fees. AMENDMENTS 1999 - Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4507(12)], as added by Pub. L. 107-273, div. C, title III, Sec. 13205(2)(F), Nov. 2, 2002, 116 Stat. 1903, substituted "Publication of international application" for "Publication of international application: Effect" in item 374. -End- -CITE- 35 USC Sec. 371 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 371. National stage: Commencement -STATUTE- (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 (!1) (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 Director. 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 Director 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 subsection (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 Director and failure to do so shall be regarded as cancellation of the amendments made under article 34(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. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 688; amended Pub. L. 98-622, title IV, Secs. 402(a)-(d), 403(a), Nov. 8, 1984, 98 Stat. 3391, 3392; Pub. L. 99-616, Sec. 7, Nov. 6, 1986, 100 Stat. 3486; Pub. L. 102-204, Sec. 5(g)(2), Dec. 10, 1991, 105 Stat. 1641; Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A-582; Pub. L. 107-273, div. C, title III, Sec. 13206(a)(20), (b)(1)(B), Nov. 2, 2002, 116 Stat. 1905, 1906.) -MISC1- AMENDMENTS 2002 - Subsec. (d). Pub. L. 107-273, Sec. 13206(b)(1)(B), made technical correction to directory language of Pub. L. 106-113. See 1999 Amendment note below. Pub. L. 107-273, Sec. 13206(a)(20), inserted period at end. 1999 - Subsec. (d). Pub. L. 106-113, as amended by Pub. L. 107- 273, Sec. 13206(b)(1)(B), substituted "Director" for "Commissioner" wherever appearing. 1991 - Subsec. (c)(1). Pub. L. 102-204 substituted "provided in section 41(a) of this title" for "prescribed under section 376(a)(4) of this part". 1986 - Subsec. (a). Pub. L. 99-616, Sec. 7(a), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: "Receipt from the International Bureau of copies of international applications with amendments to the claims, if any, and international search reports may be required in the case of all international applications designating the United States." Subsec. (b). Pub. L. 99-616, Sec. 7(b), amended subsec. (b) generally, substituting ", or under article 39(1)(a) of the treaty" for "of the treaty." Subsec. (c)(4), (5). Pub. L. 99-616, Sec. 7(c), (d), substituted a semicolon for a period at end of par. (4) and added par. (5). Subsec. (d). Pub. L. 99-616, Sec. 7(e), inserted "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 34(2)(b) of the treaty" at end. Subsec. (e). Pub. L. 99-616, Sec. 7(f), inserted "or article 41" after "article 28". 1984 - Subsec. (a). Pub. L. 98-622, Sec. 402(a), substituted "may be" for "is" and struck out ", except those filed in the Patent Office" after "United States", which amendment was executed by striking out ", except those filed in the Patent and Trademark Office" as the probable intent of Congress in view of the amendment by section 403(a) of Pub. L. 98-622. See Effective Date of 1984 Amendment note below. Pub. L. 98-622, Sec. 403(a), substituted "Patent and Trademark Office" for "Patent Office". Subsec. (b). Pub. L. 98-622 struck out ", at which time the applicant shall have complied with the applicable requirements specified in subsection (c) of this section" after "of the treaty". Subsec. (c). Pub. L. 98-622, Sec. 403(a), substituted "Patent and Trademark Office" for "Patent Office" in provisions preceding par. (1) and in par. (3). Subsec. (c)(2). Pub. L. 98-622, Sec. 402(c)(1), (2), substituted "communicated by" for "received from" and struck out "verified" before "translation". Subsec. (d). Pub. L. 98-622, Sec. 402(d), substituted provisions setting forth time periods for compliance with the requirements of subsec. (c), payments of surcharges, and the effect of failure to comply for provisions related only to the effect of failure to comply with the requirements of subsec. (c). EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, Sec. 4731] of Pub. L. 106- 113, set out as a note under section 1 of this title. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-616 effective July 1, 1987, and applicable to all international applications pending before or after that date, see section 9 of Pub. L. 99-616, set out as a note under section 351 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 402(a)-(d) of Pub. L. 98-622 effective six months after Nov. 8, 1984, see section 406(b) of Pub. L. 98-622, set out as a note under section 3 of this title. Amendment by section 403(a) of Pub. L. 98-622 effective Nov. 8, 1984, see section 406(a) of Pub. L. 98-622, set out as a note under section 351 of this title. EFFECTIVE DATE Chapter effective Jan. 24, 1978, and applicable to international and national applications filed, on and after that date, see section 11 of Pub. L. 94-131, set out as a note under section 351 of this title. -FOOTNOTE- (!1) So in original. Probably should be followed by a period. -End- -CITE- 35 USC Sec. 372 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 372. National stage: Requirements and procedure -STATUTE- (a) All questions of substance and, within the scope of the requirements of the treaty and Regulations, procedure in an international application designating the United States shall be determined as in the case of national applications regularly filed in the Patent and Trademark Office. (b) In case of international applications designating but not originating in, the United States - (1) the Director may cause to be reexamined questions relating to form and contents of the application in accordance with the requirements of the treaty and the Regulations; (2) the Director may cause the question of unity of invention to be reexamined under section 121 of this title, within the scope of the requirements of the treaty and the Regulations; and (3) the Director may require a verification of the translation of the international application or any other document pertaining to the application if the application or other document was filed in a language other than English. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 689; amended Pub. L. 98-622, title IV, Secs. 402(e), (f), 403(a), Nov. 8, 1984, 98 Stat. 3392; Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A-582; Pub. L. 107-273, div. C, title III, Sec. 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906.) -MISC1- AMENDMENTS 2002 - Subsec. (b). Pub. L. 107-273 made technical correction to directory language of Pub. L. 106-113. See 1999 Amendment note below. 1999 - Subsec. (b). Pub. L. 106-113, as amended by Pub. L. 107- 273, substituted "Director" for "Commissioner" wherever appearing. 1984 - Subsec. (a). Pub. L. 98-622, Sec. 403(a), substituted "Patent and Trademark Office" for "Patent Office". Subsec. (b)(3). Pub. L. 98-622, Sec. 402(e), added par. (3). Subsec. (c). Pub. L. 98-622, Sec. 402(f), struck out subsec. (c) which related to cancellation of claims and payment of special fees. EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, Sec. 4731] of Pub. L. 106- 113, set out as a note under section 1 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 402(e), (f) of Pub. L. 98-622 effective six months after Nov. 8, 1984, see section 406(b) of Pub. L. 98-622, set out as a note under section 3 of this title. Amendment by section 403(a) of Pub. L. 98-622 effective Nov. 8, 1984, see section 406(a) of Pub. L. 98-622, set out as a note under section 351 of this title. -End- -CITE- 35 USC Sec. 373 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 373. Improper applicant -STATUTE- 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 subsections (a) through (d) of section 119 of this title, if the United States was not the sole country designated in such international application. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 689; amended Pub. L. 98-622, title IV, Sec. 403(a), Nov. 8, 1984, 98 Stat. 3392; Pub. L. 103-465, title V, Sec. 532(c)(5), Dec. 8, 1994, 108 Stat. 4987.) -MISC1- AMENDMENTS 1994 - Pub. L. 103-465 substituted "subsections (a) through (d) of section 119" for "section 119". 1984 - Pub. L. 98-622 substituted "Patent and Trademark Office" for "Patent Office". EFFECTIVE DATE OF 1994 AMENDMENT Amendment by Pub. L. 103-465 effective 6 months after Dec. 8, 1994, and applicable to all patent applications filed in the United States on or after that effective date, with provisions relating to earliest filed patent application, see section 534(b)(1), (3) of Pub. L. 103-465, set out as a note under section 154 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98-622 effective Nov. 8, 1984, see section 406(a) of Pub. L. 98-622, set out as a note under section 351 of this title. -End- -CITE- 35 USC Sec. 374 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 374. Publication of international application -STATUTE- The publication under the treaty defined in section 351(a) of this title, of an international application designating the United States shall be deemed a publication under section 122(b), except as provided in sections 102(e) and 154(d) of this title. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 689; amended Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4507(10)], Nov. 29, 1999, 113 Stat. 1536, 1501A-566; Pub. L. 107-273, div. C, title III, Sec. 13205(2)(E), Nov. 2, 2002, 116 Stat. 1903.) -MISC1- AMENDMENTS 2002 - Pub. L. 107-273 amended Pub. L. 106-113, Sec. 1000(a)(9) [title IV, Sec. 4507(10)], see 1999 Amendment note below. Prior to being amended by Pub. L. 107-273, Pub. L. 106-113, Sec. 1000(a)(9) [title IV, Sec. 4507(10)], had amended this section to read as follows: "The publication under the treaty defined in section 351(a) of this title, of an international application designating the United States shall confer the same rights and shall have the same effect under this title as an application for patent published under section 122(b), except as provided in sections 102(e) and 154(d) of this title." 1999 - Pub. L. 106-113, as amended by Pub. L. 107-273, amended section catchline and text generally. Prior to amendment, text read as follows: "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." EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-113 effective Nov. 29, 2000, and applicable only to applications (including international applications designating the United States) filed on or after that date, see section 1000(a)(9) [title IV, Sec. 4508] of Pub. L. 106- 113, as amended, set out as a note under section 10 of this title. -End- -CITE- 35 USC Sec. 375 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 375. Patent issued on international application: Effect -STATUTE- (a) A patent may be issued by the Director based on an international application designating the United States, in accordance with the provisions of this title. Subject to section 102(e) of this title, such patent shall have the force and effect of a patent issued on a national application filed under the provisions of chapter 11 of this title. (b) Where due to an incorrect translation the scope of a patent granted on an international application designating the United States, which was not originally filed in the English language, exceeds the scope of the international application in its original language, a court of competent jurisdiction may retroactively limit the scope of the patent, by declaring it unenforceable to the extent that it exceeds the scope of the international application in its original language. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 689; amended Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A-582; Pub. L. 107-273, div. C, title III, Sec. 13206(b)(1)(B), Nov. 2, 2002, 116 Stat. 1906.) -MISC1- AMENDMENTS 2002 - Subsec. (a). Pub. L. 107-273 made technical correction to directory language of Pub. L. 106-113. See 1999 Amendment note below. 1999 - Subsec. (a). Pub. L. 106-113, as amended by Pub. L. 107- 273, substituted "Director" for "Commissioner". EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, Sec. 4731] of Pub. L. 106- 113, set out as a note under section 1 of this title. -End- -CITE- 35 USC Sec. 376 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY CHAPTER 37 - NATIONAL STAGE -HEAD- Sec. 376. Fees -STATUTE- (a) The required payment of the international fee and the handling fee, which amounts are specified in the Regulations, shall be paid in United States currency. The Patent and Trademark Office shall charge a national fee as provided in section 41(a), and may also charge the following fees: (1) A transmittal fee (see section 361(d)). (2) A search fee (see section 361(d)). (3) A supplemental search fee (to be paid when required). (4) A preliminary examination fee and any additional fees (see section 362(b)). (5) Such other fees as established by the Director. (b) The amounts of fees specified in subsection (a) of this section, except the international fee and the handling fee, shall be prescribed by the Director. He may refund any sum paid by mistake or in excess of the fees so specified, or if required under the treaty and the Regulations. The Director may also refund any part of the search fee, the national fee, the preliminary examination fee, and any additional fees, where he determines such refund to be warranted. -SOURCE- (Added Pub. L. 94-131, Sec. 1, Nov. 14, 1975, 89 Stat. 690; amended Pub. L. 98-622, title IV, Secs. 402(g), 403(a), Nov. 8, 1984, 98 Stat. 3392; Pub. L. 99-616, Sec. 8, Nov. 6, 1986, 100 Stat. 3486; Pub. L. 102-204, Sec. 5(g)(1), Dec. 10, 1991, 105 Stat. 1640; Pub. L. 106-113, div. B, Sec. 1000(a)(9) [title IV, Sec. 4732(a)(10)(A)], Nov. 29, 1999, 113 Stat. 1536, 1501A-582; Pub. L. 107-273, div. C, title III, Sec. 13206(a)(21), (b)(1)(B), Nov. 2, 2002, 116 Stat. 1905, 1906.) -MISC1- AMENDMENTS 2002 - Subsec. (a)(1) to (3). Pub. L. 107-273, Sec. 13206(a)(21), substituted period for semicolon at end. Subsecs. (a)(5), (b). Pub. L. 107-273, Sec. 13206(b)(1)(B), made technical correction to directory language of Pub. L. 106-113. See 1999 Amendment note below. 1999 - Subsecs. (a)(5), (b). Pub. L. 106-113, as amended by Pub. L. 107-273, Sec. 13206(b)(1)(B), substituted "Director" for "Commissioner" wherever appearing. 1991 - Subsec. (a). Pub. L. 102-204, Sec. 5(g)(1)(A), in introductory provisions inserted "shall charge a national fee as provided in section 41(a), and" after "Office", redesignated pars. (5) and (6) as (4) and (5), respectively, and struck out former par. (4), which read as follows: "A national fee (see section 371(c));". Subsec. (b). Pub. L. 102-204, Sec. 5(g)(1)(B), substituted "the national fee, the preliminary examination fee," for "the preliminary examination fee". 1986 - Subsec. (a). Pub. L. 99-616, Sec. 8(a), in introductory provisions, inserted "and the handling fee" and substituted "amounts are" for "amount is", added par. (5), and redesignated former par. (5) as (6). Subsec. (b). Pub. L. 99-616, Sec. 8(b), inserted "and the handling fee" and "the preliminary examination fee and any additional fees,". 1984 - Subsec. (a). Pub. L. 98-622, Sec. 403(a), substituted "Patent and Trademark Office" for "Patent Office" in provision preceding par. (1). Subsec. (a)(5), (6). Pub. L. 98-622, Sec. 402(g), redesignated par. (6) as (5). Former par. (5), which read "A special fee (to be paid when required; see section 372(c))", was struck out. EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-113 effective 4 months after Nov. 29, 1999, see section 1000(a)(9) [title IV, Sec. 4731] of Pub. L. 106- 113, set out as a note under section 1 of this title. EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99-616 effective July 1, 1987, and applicable to all international applications pending before or after that date, see section 9 of Pub. L. 99-616, set out as a note under section 351 of this title. EFFECTIVE DATE OF 1984 AMENDMENT Amendment by section 402(g) of Pub. L. 98-622 effective six months after Nov. 8, 1984, see section 406(b) of Pub. L. 98-622, set out as a note under section 3 of this title. Amendment by section 403(a) of Pub. L. 98-622 effective Nov. 8, 1984, see section 406(a) of Pub. L. 98-622, set out as a note under section 351 of this title. -End- -CITE- 35 USC [CHAPTER 38 - TRANSFERRED] 01/03/2007 -EXPCITE- TITLE 35 - PATENTS PART IV - PATENT COOPERATION TREATY [CHAPTER 38 - TRANSFERRED] -HEAD- [CHAPTER 38 - TRANSFERRED] -COD- CODIFICATION Chapter 38, as added by Pub. L. 96-517, Sec. 6(a), Dec. 12, 1980, 94 Stat. 3018, was originally editorially inserted after chapter 17 of this title because the probable intent of Congress was to designate the chapter as "18", in view of the numerical designation of the sections contained in the chapter as sections 200 to 211 and in view of the subject matter of the chapter in relation to the subject matter of Part II of this title. Pub. L. 97-256, title I, Sec. 101(5), Sept. 8, 1982, 96 Stat. 816, redesignated chapter 38 as chapter 18 and transferred chapter 18, as so redesignated, from the end of this part to the end of Part II. See 1982 Amendment note set out under the analysis of chapter 18 (Sec. 200 et seq.) of this title. -End-