PCT Newsletter
Ocober 2026 | No.10/2026
Practical Advice
Communications usually received from Offices during the international preliminary examination procedure under Chapter II of the PCT
Q: What communications might an applicant expect to receive when they file a demand for international preliminary examination under PCT Chapter II, assuming there are no formality defects or issues relating to unity of invention?
A: Last month’s Practical Advice outlined the main features of the international preliminary examination procedure under Chapter II of the PCT. We noted that this is an optional procedure during the international phase which, in exchange for payment of the associated fees, offers a chance to formally reply to the written opinion of the International Searching Authority (ISA) if the results of the international search are unfavorable, to amend the application and to have any amendments (including amendments to the claims already made under PCT Article 19) examined.
It is the only opportunity during the international phase for applicants to interact with the examiner at an International Searching and Preliminary Examining Authority. However, the time frame for such interaction is tight, so to ensure that you maximize the benefit from this procedure you need to carefully monitor any communications you receive, review them promptly, and in some situations be proactive.
The number and type of communications you receive may vary for each application, but in ordinary circumstances, when no formality defects are found, you may expect to receive the following.
PCT/IB/368 Notification of transmittal of demand to the competent International Preliminary Examining Authority [IPEA]
As explained in last month’s Practical Advice, a demand for international preliminary examination is filed using Form PCT/IPEA/401. If the IPEA you are using does not accept direct filings via ePCT, you can use ePCT to file a demand via the International Bureau (IB) (PCT Rule 59.3). In such a case, you will need to make sure you receive this notification.
For those rare cases where a translation is required specifically for international preliminary examination, the procedure is outlined in PCT Rule 12.4.
PCT/IPEA/402 Notification of receipt of demand by competent International Preliminary Examining Authority
PCT/IPEA/403 Notification concerning payment of the preliminary examination and handling fees
The IPEA will notify the applicant when it has received the demand (PCT Rule 61.1(b)) and whether the due fees (Rules 57 and 58) have been paid. These notifications are usually issued within the first month after filing the demand. Examination will not start until fees are paid (PCT Rule 69.1(a)), and you need to ensure they are paid promptly so that you can gain full benefit from the international preliminary examination in the limited time available.
PCT/IB/332 Information concerning elected Offices notified of their election
The designated States where the demand for international preliminary examination has effect are called “elected” Offices.[1] The International Bureau will notify the elected Offices of their election (using Form PCT/IB/331; PCT Article 31(7)) and will also notify the applicant (PCT Rule 61.3).
The IB will send the IPEA a copy of any Article 19 amendments (attached to Form PCT/IB/337), if it has any on file.
PCT/IPEA/408 Written opinion of the International Preliminary Examining Authority
This notification is only received in cases where the IPEA issues a written opinion in addition to the written opinion of the ISA before it issues the international preliminary report on patentability, Chapter II (IPRP II). The IPEA may issue further written opinions taking into account arguments or amendments made by the applicant in response to a previous written opinion (PCT Rule 66.4). The IPEA is not obliged to issue a written opinion in addition to the opinion issued by the ISA before it draws up the report, as the ISA’s written opinion is considered to be a written opinion of the IPEA unless the IPEA has notified the IB otherwise (PCT Rule 66.1bis).
PCT/IPEA/429 Notification concerning informal communication with the applicant – together with
PCT/IPEA/428 Note on informal communication with the applicant
Where the IPEA has communicated informally with the applicant it may issue this notification (PCT Rule 66.6).
PCT/IPEA/432 Communication regarding amendments not taken into account
Where the applicant has submitted amendments or arguments but the IPEA receives them after it has begun to draw up the written opinion or report and therefore does not take them into account, it may issue this notification (PCT Rule 66.4bis).
PCT/IPEA/416 Notification of transmittal of international preliminary report on patentability – together with
PCT/IPEA/409 International preliminary report on patentability (Chapter II)
The applicant receives the results of international preliminary examination at about 28 months (PCT Article 36, PCT Rules 70 and 71). PCT Rule 70 contains detailed information as to the content of the report and its annexes (replacement sheets and letters are annexed to the report).
The IPEA forwards to the IB a copy of the report and the examination-related documents on file, such as any written opinion by the IPEA, amendments, arguments and replacement sheets to be made publicly accessible on PATENTSCOPE at 30 months from the priority date on behalf of the elected Offices. The applicant may prevent public access by withdrawing the demand before the IB receives the report.
PCT/IB/338 Notification of transmittal of copies of translation of the international preliminary report on patentability (Chapter I or Chapter II)
Where the IPRP II is not established in English, the IB will translate it into English for the elected Offices and send a copy to the applicant at 30 months (PCT Rules 72.1 and 72.2). Note that the IB does not translate annexes of the report; translation of the annexes is the applicant’s responsibility.
[1] Uruguay is not bound by the provisions of Chapter II, having made a declaration to that effect in accordance with PCT Article 64(1)(a).
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