6.2.3 Classification and Search Indication

Also in this Chapter:

• 6.2.1 Procedural Outline International Type Search Report

• 6.2.2 Introduction - International Type Searching​​​​​​​

• 6.2.4 Unity of Invention

• 6.2.5 Subjects to be Excluded from the Search

• 6.2.6 Obscurities, Inconsistencies or Contradictions

• 6.2.7 Abstract and Title

• 6.2.8 Search Report

• 6.2.9 Completing Search Report and Opinion Form

• 6.2.10 Annexes

Key Legislation:

Patents Regulations:

• Reg 3.14A Request for international-type search relating to provisional application

Related Chapters:

• 4 Searching

• 4.6 Recording the Search Details

• 6.1 International Searching

• 6.1.7.1.1 PCT Guideline References and Flow Chart

• 6.2.8 Search Report

• Annexure F - When to Complete the Search Information Statement (SIS)

• Annex D Search Information Statement

• RIO - Processing Article 15(5) International Type Search Tasks

• RIO - Issuing a Request for Search Statement

• RIO - Processing Classification Tasks

On this page

• Introduction and guidance

• Initial administration and formalities checking

• Determining the basis of search

  • Examiner initial checks

  • Searching on the basis of a search statement alone

  • Examiner is unable to determine the subject matter to be searched

• Product by process claims

• Recording search details

• Process flowchart

Introduction and guidance

National applications on which an international-type search is requested will usually be:

• a provisional application, but could be

• a complete application for a standard patent, or

• an innovation patent application.

Note: From 15 April 2013 applicants will only be able to file a request for an Article 15(5) search on a provisional application.

Guidance on completing the Art 15(5) task in RIO can be found at RIO Manual for Art 15(5). The search procedure to be followed is similar to that outlined in 6.1.1 Procedural Outline - PCT International Search. See also 4. Searching for information on developing search strategies as well as the 3-person team (3PT) in 4.4.1 Three Person Team (3PT).

A flow chart detailing the following sections is provided at the end of this page.

Initial administration and formalities checking

When a search request is received by this Office, such requests are forwarded to Customer Experience Group (CEG), who then:

• Acknowledges receipt to the applicant/attorney along with any query relating to search fees.

• Checks that the search request was made by the applicant.

• Establishes a search request date which will be the date of receipt in this Office where both:

  • Sufficient material exists for the search file to be assigned to the examination branch.

  • Full fee payment has been made.

• Establishes the search report completion date as 6 weeks from request date.

The Patent Auto-Classifier will assign the task to the relevant examination section. However, in the case where Auto-Classifier fails, it will go to the Manual Tech sorters, who will identify and distribute to the most appropriate section.

Determining the basis of search

Examiner initial checks

On being assigned the task, the search examiner should check to see that the person requesting the Article 15(5) search is the patent applicant. If this is not the case, the search cannot proceed. The underlying cause will usually be a clerical error somewhere in the process.

An international-type search shall be carried out on the basis of the claims, with due regard to the description and the drawings (if any). However, the search is to be carried out on the basis of the search statement (see 6.2.8 Search Report) if the applicant either:

• makes a specific request to search a search statement when both the search statement and the claims are filed together.

• files a later search statement.

Searching on the basis of a search statement alone

A provisional application which does not include claims may be the subject of an international-type search based only on the description and drawings. In this situation the applicant will usually provide a search statement with the search request.

Where a search is carried out on the basis of a search statement provided by the applicant, the search is not to be conducted on the basis of the search statement in isolation. In formulating the search, the search statement must be considered in the context of the specification as a whole.

Examiner is unable to determine the subject matter to be searched

Where there is difficulty in determining the subject matter area which the applicant desires to be searched, examiners must avoid the temptation to perform a search simply because they can. This could lead to:

• a poor-quality search report that cites documents from a range of technologies

• citing documents that read onto the search statement but none of the embodiments

Examiners should instead, following consultation with a senior examiner, advise the applicant of the situation and request them to provide a written search statement (see RIO Requesting a Search Statement).

If no reply is received within one month, RIO will automatically send out monthly reminders. The letter will advise the applicant that although IP Australia is unable to refund the fee paid for the filing of the request under Regulation 3.14A (see IP Australia's Refund Policy), the applicant may request a partial waiver of the fee. This will be considered in light of the particular circumstances and will not generally exceed 50% of the applicable fee.

​​​​​​​Upon a request of a partial waiver of fee being made, the case will be referred to Assistant General Manager (ELEC) for consideration.

Product by process claims

These types of claims are for the purposes of an international-type search report to be interpreted in accordance with the PCT guidelines — see 6.1.7.1.1 PCT Guideline References and Flow Chart.

Recording search details

The examiner must record all details of the search on the Search Information Statement (SIS), which should then be placed on the file. The SIS includes details of all patent and non-patent literature searches, as well as searches conducted on the internet. The names of the members of the 3-person team should also be recorded. See Annex F for information on when a SIS must be completed.

Further information on the SIS and instructions for its use are provided at 4.6 Recording the Search Details and Annex D Search Information Statement (Instructions for Completing the SIS).

Process flowchart