6.1.1 Procedural Outline - PCT International Search

Also in this Chapter:

• 6.1.2 Introduction - International Searching​​​​​​​

• 6.1.3 Search Allocation and Preliminary Classification

• 6.1.4 Unity of Invention

• 6.1.5 Abstract and Title

• 6.1.6 Subjects to be Excluded from the Search

• 6.1.7 Claim Interpretation, Broad Claims, PCT Articles 5 and 6​​​​​​​

• 6.1.8 Search Strategy

• 6.1.9 Basis of the Search​​​​​​​

• 6.1.10 Non-Patent Literature

• 6.1.11 Search Procedure

• 6.1.12 Search Report and Notification Form Completion

• 6.1.13 Reissued, Amended or Corrected ISRs and ISOs

• 6.1.14 Priority Document

• 6.1.15 Foreign Patent Search Aids and Documentation

• 6.1.16 Assistance with Foreign Languages

• 6.1.17 Rule 91 Obvious Mistakes in Documents

• 6.1.18 Nucleotide and/or Amino Acid Sequence Listings

• 6.1.19 Annexes

Key Related Topics:

• 6.3.5.3 PCT Third Party Observations

On this Page

• PCT Unit and PCT coordinator workflow

  • Initial processing & administration

• Examiner workflow

  • Starting considerations

  • Searching

  • Preparing the report

• PCT search flow chart

PCT unit and PCT coordinator workflow

Initial processing & administration

1. PCT Unit carries out initial processing of the task and an initial formalities check.

2. The task is assigned to the relevant Section (See 6.1.3.1 Allocation).

   • At the same time, a classification task(s) will be created and assigned to sections according to preliminary classification.

3. Tasks are distributed by sections in line with their in-section practice.

Examiner workflow

Starting considerations

4. Where priority is claimed, check that the correct priority document is uploaded. See 6.1.14 Priority Document.

5. Consider unity of invention (see 6.1.4.2 Determining Lack of Unity).

   • Examiners should consult with their Supervising Examiner if there are multiple inventions that would require an invitation to pay (ITP) to be issued (see 6.1.4.9 Issuing the Invitation to Pay Additional Search Fees).

6. Consider excluded subject matter (see 6.1.6 Subjects to be Excluded from the Search).

7. Check the abstract & figures.

   • See 6.1.5.1 Abstract.

   • Examiner to draft an abstract if required.

8. Examine the specification and check for formality issues (see 6.3.9.2 Formalities).

   • The PCT unit will do an initial formality check and issue correspondence.

   • Examiners who identify formality issues should check for such correspondence.

   • If the issue has not been raised, the examiner should contact the PCT unit.

9. Check for earlier searches, in particular:

   • International-type searches

   • PCT third party observations – see 6.3.5.3 PCT Third Party Observations

Searching

10. Perform preliminary search using Automated Preliminary Search tool.

11. Formulate a search strategy and determine a consolidated search strategy in consultation with a 3-person team (see 6.1.8.2 The Three Person Team (3PT)).

12. Conduct search using the appropriate search tools and search procedures (see 6.1.11.5 Conducting the Search).

13. Search non-patent literature (NPL) as required and order relevant non patent literature from the Library if not readily available from the Internet.

Preparing the report

14. Download and store all citations relating to a PCT application to COMPASS.

15. Prepare the Written Opinion of the International Searching Authority (ISO), International Search Report (ISR) and Search Information Statement (SIS) within RIO.

16. If needed, process refunds for earlier search(es) (see 6.1.12.8 Refund Due).

17. Submit the task.

    • The SIS, ISO and ISR will be dispatched pending any Quality Assurance and/or Quality Review processes.

    • Note: the task cannot be completed if classification has not been completed.

PCT search flow chart