11. Examination of further formal requirements – non-compliance
Overview
11. Examination of further formal requirements – non-compliance
As set out in A‑XII, 4.4, certain minimum requirements must be fulfilled within the 31-month period for entry into the European phase in accordance with Rule 159. However, depending on the characteristics of the application and the characteristics of the processing in the international phase (A‑XII, 1.4), the applicant may also have to fulfil one or more "further requirements" within the 31-month period.
Non-compliance with any of the further requirements – unlike non-compliance with the minimum requirements – does not prevent the application from entering the European phase and the applicant from being given a further opportunity to comply with these requirements in accordance with Rule 51bis PCT and/or Art. 150(2) (A‑XII, 4.3).
It is nevertheless advisable to comply with the further requirements within the 31-month period. Non-compliance with most further requirements will result either in the refusal of the application after the start of the European phase proceedings or another loss of rights. Non-compliance may also delay the start of the processing because the formalities officer will refer the file to the search division for the drawing up of the supplementary European search report or to the examining division for examination only on condition that the file can be dealt with (A‑XII, 4.4).
Although Rule 159(1)(b) states that the applicant must specify the documents on which they wish the European phase processing to be based within the 31-month period, non-compliance with this further requirement does not result in a direct loss of rights and also has no legal consequences later in the proceedings, and it is therefore not dealt with in this section. See, however, A‑XII, 5.3 on the importance of specifying the documents for the European phase processing in good time.
The following sections set out the legal consequences of non-compliance and the remedies available for each of the further requirements listed below.
–file the designation of the inventor (A‑XIII, 11.1)
–furnish the file number or a certified copy of the application(s) from which priority is claimed (A‑XIII, 11.2)
–furnish a sequence listing complying with the standard (A‑XIII, 11.3)
–furnish any details mentioned in Rule 163(4) that are missing for any applicant (A‑XIII, 11.4)
–appoint a professional representative, if required (A‑XIII, 11.5)
–where applicable, file the certificate of exhibition mentioned in Art. 55(2) (A‑XIII, 11.6)
–furnish a copy of the results of any search carried out by or on behalf of the authority with which the priority application was filed (A‑III, 6.12; A‑XIII, 11.7)
–pay any claims fees due (A‑XIII, 11.8; A‑XIV, 2.2)