MPEP § 1810 — Filing Date Requirements (Annotated Rules)

§1810 Filing Date Requirements

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 1810, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Filing Date Requirements

This section addresses Filing Date Requirements. Primary authority: 35 U.S.C. 100, 35 U.S.C. 363, and 37 CFR 1.431. Contains: 5 requirements, 1 permission, and 12 other statements.

Key Rules

Topic

International Filing Date

8 rules
StatutoryRequiredAlways
[mpep-1810-ee6e61c69c50ac5a396bbd52]
International Application Must Meet Requirements for Filing Date
Note:
The receiving Office assigns the international filing date as the application's receipt date if the applicant meets specific requirements, including proper language and basic application elements.
(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt:
  • (i) the applicant does not obviously lack, for reasons of residence or nationality, the right to file an international application with the receiving Office,
  • (ii) the international application is in the prescribed language,
  • (iii) the international application contains at least the following elements:
    • (a) an indication that it is intended as an international application,
    • (b) the designation of at least one Contracting State,
    • (c) the name of the applicant, as prescribed,
    • (d) a part which on the face of it appears to be a description
    • (e) a part which on the face of it appears to be a claim or claims.
Jump to MPEP SourceInternational Filing DateReceiving Office (RO/US)PCT International Application Filing
StatutoryRequiredAlways
[mpep-1810-701d6f5be995f8e390d1bbde]
International Application Designating US Effect as National Patent Application
Note:
An international application designating the United States will have the effect of a national patent application filed in the Patent and Trademark Office from its international filing date.

An international application designating the United States shall have the effect, from its international filing date under article 11 of the treaty, of a national application for patent regularly filed in the Patent and Trademark Office.

Jump to MPEP SourceInternational Filing DateEffect of International FilingNationals and Residents
StatutoryRequiredAlways
[mpep-1810-8a658c074c8c293966aa3cc3]
International Application Designating U.S. Has Same Effect as National Filing
Note:
An international application designating the United States will have the same effect as a national patent application filed in the Patent and Trademark Office, starting from its international filing date.

An international application designating the United States shall have the effect, from its international filing date under article 11 of the treaty, of a national application for patent regularly filed in the Patent and Trademark Office except as otherwise provided in section 102(e).

Jump to MPEP SourceInternational Filing DateEffect of International FilingNationals and Residents
StatutoryInformativeAlways
[mpep-1810-c9f9fe979696b8b82910b489]
Earliest Date Meeting PCT Article 11(1) Requirements
Note:
The international filing date is accorded to the earliest date when all requirements under PCT Article 11(1) are satisfied, with corrections allowed within a set time limit.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431International Filing DatePCT International Application FilingPatent Cooperation Treaty
StatutoryInformativeAlways
[mpep-1810-5b6a542fdc2e25f6b675c05e]
Filing Date Determined by Initial Receipt
Note:
The international filing date is determined by the earliest date when all requirements under PCT Article 11(1) are satisfied, with corrections allowed within a set time limit.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431International Filing DatePatent Cooperation TreatyArticle 19 Amendment Scope
StatutoryInformativeAlways
[mpep-1810-a6229ca0f2736b0b00929b8b]
International Filing Date Based on Timely Correction
Note:
The international filing date is determined by the date a timely filed correction is received by the receiving office.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431International Filing DateReceiving Office (RO/US)PCT International Application Filing
StatutoryInformativeAlways
[mpep-1810-06e922b3a526f85dcb42c916]
Notification for Untimely Defect Correction
Note:
If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will notify the applicant that the application will not be treated as an international application.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431International Filing DateReceiving Office (RO/US)PCT International Application Filing
StatutoryInformativeAlways
[mpep-1810-468d671414d62864c692d55a]
Filing Date for International Application with Non-U.S. Applicants
Note:
The filing date is preserved if at least one applicant is a resident or national of any PCT Contracting State.

An all too common occurrence is that applicants will file an international application in the U.S. Receiving Office and no applicant has a U.S. residence or nationality. Applicants are cautioned to be sure that at least one applicant is a resident or national of the U.S. before filing in the U.S. Receiving Office. Where no applicant indicated on the request papers is a resident or national of the United States, the USPTO is not a competent receiving Office for the international application under PCT Rule 19.1(a). Nonetheless, the date the international application was filed in the USPTO will not be lost as a filing date for the international application if at least one applicant is a resident or national of any PCT Contracting State. Under PCT Rule 19.4, the USPTO will receive the application on behalf of the International Bureau as receiving Office (PCT Rule 19.4(a)) and, upon payment of a fee equal to the transmittal fee, the USPTO will promptly transmit the international application to the International Bureau under PCT Rule 19.4(b). However, if all of the applicants are indicated to be both residents and nationals of non-PCT Contracting States, PCT Rule 19.4 does not apply, and the application is denied an international filing date.

Jump to MPEP Source · 37 CFR 1.431International Filing DateNationals and ResidentsReceiving Office (RO/US)
Topic

Article 19 Amendment Scope

5 rules
StatutoryInformativeAlways
[mpep-1810-16204c0893e3b81bd89f757c]
A Claim Must Be Present In International Application
Note:
The international application must contain at least a part that appears to be a claim upon initial review for it to be accepted by the receiving Office.

(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt:
(iii) the international application contains at least the following elements:

(e) a part which on the face of it appears to be a claim or claims.

Jump to MPEP SourceArticle 19 Amendment ScopePCT Claims FormatPCT Article 19 Amendments
StatutoryRequiredAlways
[mpep-1810-2a9f3ed163537d778bc243f0]
Components Required for International Applications
Note:
An international application must include a Request, description, claims, abstract, and drawings (where required), as specified in the Treaty and Regulations.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012] (a) An international application shall contain, as specified in the Treaty and the Regulations, a Request, a description, one or more claims, an abstract, and one or more drawings (where required). (PCT Art. 3(2) and Section 207 of the Administrative Instructions.)

Jump to MPEP Source · 37 CFR 1.431Article 19 Amendment ScopePCT Abstract RequirementsPCT Description Requirements
StatutoryPermittedAlways
[mpep-1810-373601129789633cf3a8d62b]
Initial Receipt Date Retained If Correction Completely Contained in Earlier Application
Note:
If the initial application contained a priority claim and proper incorporation by reference, the initial receipt date can be retained as the international filing date if the correction is completely within the earlier application.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Article 19 Amendment ScopeStatement Under Article 19PCT Claims Format
StatutoryInformativeAlways
[mpep-1810-b53c12783395f925159e4c7f]
Filing Date Denied for All Non-PCT Nationals
Note:
The international filing date is denied if all applicants are residents and nationals of non-PCT Contracting States.

An all too common occurrence is that applicants will file an international application in the U.S. Receiving Office and no applicant has a U.S. residence or nationality. Applicants are cautioned to be sure that at least one applicant is a resident or national of the U.S. before filing in the U.S. Receiving Office. Where no applicant indicated on the request papers is a resident or national of the United States, the USPTO is not a competent receiving Office for the international application under PCT Rule 19.1(a). Nonetheless, the date the international application was filed in the USPTO will not be lost as a filing date for the international application if at least one applicant is a resident or national of any PCT Contracting State. Under PCT Rule 19.4, the USPTO will receive the application on behalf of the International Bureau as receiving Office (PCT Rule 19.4(a)) and, upon payment of a fee equal to the transmittal fee, the USPTO will promptly transmit the international application to the International Bureau under PCT Rule 19.4(b). However, if all of the applicants are indicated to be both residents and nationals of non-PCT Contracting States, PCT Rule 19.4 does not apply, and the application is denied an international filing date.

Jump to MPEP Source · 37 CFR 1.431Article 19 Amendment ScopeArticle 19 Amendment TimingInternational Stage Fees
StatutoryInformativeAlways
[mpep-1810-37d5a40458952180bf5b9c65]
International Applications Must Be In English Or Forwarded To International Bureau
Note:
The USPTO requires international applications to be in English and will forward those in other accepted languages, upon payment of a fee, to the International Bureau.

The USPTO is also not competent to receive international applications that are not in the English language and, upon payment of a fee equal to the transmittal fee, the USPTO will forward such applications to the International Bureau under PCT Rule 19.4 provided they are in a language accepted by the International Bureau as receiving Office.

Jump to MPEP Source · 37 CFR 1.431Article 19 Amendment ScopeArticle 19 Amendment TimingInternational Stage Fees
Topic

Patent Cooperation Treaty

5 rules
StatutoryRequiredAlways
[mpep-1810-f4b26909b9f29a98510c60c5]
Requirements for International Application
Note:
An international application must include a Request, description, claims, abstract, and drawings as specified by the Patent Cooperation Treaty.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012] (a) An international application shall contain, as specified in the Treaty and the Regulations, a Request, a description, one or more claims, an abstract, and one or more drawings (where required). (PCT Art. 3(2) and Section 207 of the Administrative Instructions.)

Jump to MPEP Source · 37 CFR 1.431Patent Cooperation TreatyAIA Effective DatesArticle 19 Amendment Scope
StatutoryInformativeAlways
[mpep-1810-3a4c286ec64c7370678917b0]
Filing Date Based on Initial Receipt
Note:
The international filing date is based on the initial receipt date if timely corrections are made for missing description or claims, provided the application contains a priority claim and proper incorporation by reference.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Patent Cooperation TreatyArticle 19 Amendment ScopeStatement Under Article 19
StatutoryInformativeAlways
[mpep-1810-e91ad8b2284d1bb679d3c53c]
Requirement for Timely Correction of Deficiencies
Note:
The rule requires that deficiencies in the international application be timely corrected to retain the initial receipt date as the international filing date.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Patent Cooperation TreatyArticle 19 Amendment ScopeStatement Under Article 19
StatutoryInformativeAlways
[mpep-1810-9e303e159150070e7bb482c9]
Filing Date Based on Initial Receipt
Note:
The international filing date is based on the initial receipt date if all requirements are timely corrected, otherwise it may be amended to reflect the last missing sheets received.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Patent Cooperation TreatyArticle 19 Amendment ScopeStatement Under Article 19
StatutoryInformativeAlways
[mpep-1810-9f5bd7e18421ddaff75d78e3]
PCT Rule for International Application Requirements
Note:
This rule outlines the requirements for filing international patent applications under the Patent Cooperation Treaty.

A discussion of PCT Rule 19.4 is also included in MPEP § 1805.

Jump to MPEP Source · 37 CFR 1.431Patent Cooperation TreatyPCT International Application Filing
Topic

Receiving Office (RO/US)

4 rules
StatutoryInformativeAlways
[mpep-1810-73431923144383923e99091d]
Applicant Must Have Right to File International Application
Note:
The receiving office must confirm the applicant's right to file an international application based on their residence or nationality before accepting it.

(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt (i) the applicant does not obviously lack, for reasons of residence or nationality, the right to file an international application with the receiving Office,

Jump to MPEP SourceReceiving Office (RO/US)PCT International Application FilingPatent Cooperation Treaty
StatutoryInformativeAlways
[mpep-1810-0fdff3b73d160d3b38452abb]
Filing Date Requirements for PCT Designating US
Note:
This rule outlines the filing date requirements for international applications designating the United States under pre-AIA law.

[Editor Note: Applicable to applications not subject to the first inventor to file provisions of the AIA (see 35 U.S.C. 100 (note)). See 35 U.S.C. 363 immediately above for the law otherwise applicable.]

Jump to MPEP SourceReceiving Office (RO/US)Effect of International FilingNationals and Residents
StatutoryInformativeAlways
[mpep-1810-ba3644a4cbe87c71c4f7a7d9]
Date of Last Missing Sheets Received Determines Filing Date
Note:
If all sheets of an international application are not received on the same day, the filing date is amended to reflect the date of receipt of the last missing sheet.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Receiving Office (RO/US)PCT International Application FilingPatent Cooperation Treaty
StatutoryInformativeAlways
[mpep-1810-5ef4402940c4de3b508dc639]
Resident or National of U.S. Required for International Filing
Note:
At least one applicant must be a resident or national of the U.S. before filing an international application with the USPTO.

An all too common occurrence is that applicants will file an international application in the U.S. Receiving Office and no applicant has a U.S. residence or nationality. Applicants are cautioned to be sure that at least one applicant is a resident or national of the U.S. before filing in the U.S. Receiving Office. Where no applicant indicated on the request papers is a resident or national of the United States, the USPTO is not a competent receiving Office for the international application under PCT Rule 19.1(a). Nonetheless, the date the international application was filed in the USPTO will not be lost as a filing date for the international application if at least one applicant is a resident or national of any PCT Contracting State. Under PCT Rule 19.4, the USPTO will receive the application on behalf of the International Bureau as receiving Office (PCT Rule 19.4(a)) and, upon payment of a fee equal to the transmittal fee, the USPTO will promptly transmit the international application to the International Bureau under PCT Rule 19.4(b). However, if all of the applicants are indicated to be both residents and nationals of non-PCT Contracting States, PCT Rule 19.4 does not apply, and the application is denied an international filing date.

Jump to MPEP Source · 37 CFR 1.431Receiving Office (RO/US)Signature RequirementsPCT International Application Filing
Topic

Nationals and Residents

3 rules
StatutoryRequiredAlways
[mpep-1810-e1452094e58993d2f4d3a178]
Requirement for United States Resident Applicant
Note:
An international filing date will be accorded by the United States Receiving Office if at least one applicant is a United States resident or national.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]
(b) An international filing date will be accorded by the United States Receiving Office, at the time of receipt of the international application, provided that (1) At least one applicant (§ 1.421) is a United States resident or national and the papers filed at the time of receipt of the international application so indicate (35 U.S.C. 361(a), PCT Art. 11(1)(i)).

Jump to MPEP Source · 37 CFR 1.431Nationals and ResidentsReceiving Office (RO/US)Assignee as Applicant Signature
StatutoryInformativeAlways
[mpep-1810-9f735ddf309070fec84187aa]
At Least One Applicant Must Be a U.S. Resident or National Before Filing in the U.S. Receiving Office
Note:
Applicants must ensure at least one applicant is a resident or national of the U.S. before filing an international application with the U.S. Receiving Office.

An all too common occurrence is that applicants will file an international application in the U.S. Receiving Office and no applicant has a U.S. residence or nationality. Applicants are cautioned to be sure that at least one applicant is a resident or national of the U.S. before filing in the U.S. Receiving Office. Where no applicant indicated on the request papers is a resident or national of the United States, the USPTO is not a competent receiving Office for the international application under PCT Rule 19.1(a). Nonetheless, the date the international application was filed in the USPTO will not be lost as a filing date for the international application if at least one applicant is a resident or national of any PCT Contracting State. Under PCT Rule 19.4, the USPTO will receive the application on behalf of the International Bureau as receiving Office (PCT Rule 19.4(a)) and, upon payment of a fee equal to the transmittal fee, the USPTO will promptly transmit the international application to the International Bureau under PCT Rule 19.4(b). However, if all of the applicants are indicated to be both residents and nationals of non-PCT Contracting States, PCT Rule 19.4 does not apply, and the application is denied an international filing date.

Jump to MPEP Source · 37 CFR 1.431Nationals and ResidentsReceiving Office (RO/US)Signature Requirements
StatutoryInformativeAlways
[mpep-1810-0ee73e8b527b7ed5e5a543e6]
USPTO Not Competent for Non-US Nationals
Note:
The USPTO cannot act as a competent receiving office for international applications where no applicant is a U.S. resident or national.

An all too common occurrence is that applicants will file an international application in the U.S. Receiving Office and no applicant has a U.S. residence or nationality. Applicants are cautioned to be sure that at least one applicant is a resident or national of the U.S. before filing in the U.S. Receiving Office. Where no applicant indicated on the request papers is a resident or national of the United States, the USPTO is not a competent receiving Office for the international application under PCT Rule 19.1(a). Nonetheless, the date the international application was filed in the USPTO will not be lost as a filing date for the international application if at least one applicant is a resident or national of any PCT Contracting State. Under PCT Rule 19.4, the USPTO will receive the application on behalf of the International Bureau as receiving Office (PCT Rule 19.4(a)) and, upon payment of a fee equal to the transmittal fee, the USPTO will promptly transmit the international application to the International Bureau under PCT Rule 19.4(b). However, if all of the applicants are indicated to be both residents and nationals of non-PCT Contracting States, PCT Rule 19.4 does not apply, and the application is denied an international filing date.

Jump to MPEP Source · 37 CFR 1.431Nationals and ResidentsReceiving Office (RO/US)Request Content and Form
Topic

PCT International Application Filing

2 rules
StatutoryInformativeAlways
[mpep-1810-e350644e8a9bfa2774ffd277]
International Application Must Be In Prescribed Language
Note:
The receiving Office will accept the international filing date if the application is in the required language at submission.

(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt:

(ii) the international application is in the prescribed language,

Jump to MPEP SourcePCT International Application FilingPatent Cooperation TreatyInternational Filing Date
StatutoryRequiredAlways
[mpep-1810-188a0949dd78e650bb365e7e]
International Application Must Be In English
Note:
The international application must be submitted in the English language.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]
(b) An international filing date will be accorded by the United States Receiving Office, at the time of receipt of the international application, provided that:

(2) The international application is in the English language (35 U.S.C. 361(c), PCT Art. 11(1)(ii)).

Jump to MPEP Source · 37 CFR 1.431PCT International Application FilingPatent Cooperation TreatyAIA Effective Dates
Topic

AIA Effective Dates

2 rules
StatutoryRequiredAlways
[mpep-1810-0f35e36c8a6e692c91c8fdac]
Elements Required for International Application Filing
Note:
This rule outlines the necessary components that must be included in an international application to secure a filing date, including a request, description, claims, abstract, and drawings.
[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]
  • (a) An international application shall contain, as specified in the Treaty and the Regulations, a Request, a description, one or more claims, an abstract, and one or more drawings (where required). (PCT Art. 3(2) and Section 207 of the Administrative Instructions.)
  • (b) An international filing date will be accorded by the United States Receiving Office, at the time of receipt of the international application, provided that:
    • (1) At least one applicant (§ 1.421) is a United States resident or national and the papers filed at the time of receipt of the international application so indicate (35 U.S.C. 361(a), PCT Art. 11(1)(i)).
    • (2) The international application is in the English language (35 U.S.C. 361(c), PCT Art. 11(1)(ii)).
    • (3) The international application contains at least the following elements (PCT Art. 11(1)(iii)):
      • (i) An indication that it is intended as an international application (PCT Rule 4.2);
      • (ii) The designation of at least one Contracting State of the International Patent Cooperation Union (§ 1.432);
      • (iii) The name of the applicant, as prescribed (note §§ 1.421, 1.422, and 1.424);
      • (iv) A part which on the face of it appears to be a description; and
      • (v) A part which on the face of it appears to be a claim.
  • (c) Payment of the international filing fee (PCT Rule 15.2) and the transmittal and search fees (§ 1.445) may be made in full at the time the international application papers required by paragraph (b) of this section are deposited or within one month thereafter. The international filing, transmittal, and search fee payable is the international filing, transmittal, and search fee in effect on the receipt date of the international application. If the international filing, transmittal and search fees are not paid within one month from the date of receipt of the international application and prior to the sending of a notice of deficiency, which imposes a late payment fee (§ 1.445(a)(6)), the applicant will be notified and given a one month non-extendable time limit within which to pay the deficient fees plus the late payment fee.
  • (d) If the payment needed to cover the transmittal fee, the international filing fee, the search fee, and the late payment fee pursuant to paragraph (c) of this section is not timely made in accordance with PCT Rule 16bis.1(e), the Receiving Office will declare the international application withdrawn under PCT Article 14(3)(a).
Jump to MPEP Source · 37 CFR 1.431AIA Effective DatesAIA Overview and Effective DatesAIA vs Pre-AIA Practice
StatutoryRequiredAlways
[mpep-1810-c3279b676b5b75b3fa105288]
A Part Which Appears to Be a Claim Must be Present
Note:
The international application must contain at least one claim that is clearly stated.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]
(b) An international filing date will be accorded by the United States Receiving Office, at the time of receipt of the international application, provided that:
(3) The international application contains at least the following elements (PCT Art. 11(1)(iii)):

(v) A part which on the face of it appears to be a claim.

Jump to MPEP Source · 37 CFR 1.431AIA Effective DatesInternational Filing DateNationals and Residents
Topic

International Stage Fees

2 rules
StatutoryRequiredAlways
[mpep-1810-b2914ee15a2ba7af8ec1d423]
International Filing Fee Requirement
Note:
The international filing, transmittal, and search fee must be paid on the receipt date of the international application.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]

The international filing, transmittal, and search fee payable is the international filing, transmittal, and search fee in effect on the receipt date of the international application.

Jump to MPEP Source · 37 CFR 1.431International Stage FeesNational Stage FeesEffect of International Filing
StatutoryRequiredAlways
[mpep-1810-641b1656df448d85873069ab]
Late Payment Fee Requirement for International Application
Note:
The Receiving Office will declare an international application withdrawn if the payment covering the transmittal fee, international filing fee, search fee, and late payment fee is not timely made.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]

(d) If the payment needed to cover the transmittal fee, the international filing fee, the search fee, and the late payment fee pursuant to paragraph (c) of this section is not timely made in accordance with PCT Rule 16bis.1(e), the Receiving Office will declare the international application withdrawn under PCT Article 14(3)(a).

Jump to MPEP Source · 37 CFR 1.431International Stage FeesNational Stage FeesReceiving Office (RO/US)
Topic

Effect of International Filing

1 rules
StatutoryInformativeAlways
[mpep-1810-3505ee89f50f637a8c71d204]
Designation of Contracting States Required for Filing
Note:
The international application must designate at least one Contracting State upon filing to establish the international filing date.

(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt:
(iii) the international application contains at least the following elements:

(b) the designation of at least one Contracting State,

Jump to MPEP SourceEffect of International FilingInternational Filing DateReceiving Office (RO/US)
Topic

PCT Description Requirements

1 rules
StatutoryInformativeAlways
[mpep-1810-6d213f28db38e026128fd5bc]
Description Must Be Present
Note:
The international application must contain a part that appears to be a description of the invention.

(1) The receiving Office shall accord as the international filing date the date of receipt of the international application, provided that that Office has found that, at the time of receipt:
(iii) the international application contains at least the following elements:

(d) a part which on the face of it appears to be a description

Jump to MPEP SourcePCT Description RequirementsPCT Description and ClaimsInternational Filing Date
Topic

Key Changes Under AIA

1 rules
StatutoryInformativeAlways
[mpep-1810-7e5eb47189822029f7b9a502]
Filing Date Requirements Under AIA
Note:
This rule outlines the filing date requirements for patent applications subject to the first inventor to file provisions of the America Invents Act (AIA).

[Editor Note: Applicable to any patent application subject to the first inventor to file provisions of the America Invents Act (AIA). See 35 U.S.C. 100 (note).]

Jump to MPEP SourceKey Changes Under AIAReceiving Office (RO/US)AIA Overview and Effective Dates
Topic

Filing, Search & Examination Fees

1 rules
StatutoryRequiredAlways
[mpep-1810-fef59b9df2b8ff45ce7797d4]
Payment of Filing and Search Fees Must Be Made Promptly
Note:
The international filing, transmittal, and search fees must be paid in full at the time of deposit or within one month thereafter. Failure to pay within this period results in a late payment fee.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]

(c) Payment of the international filing fee (PCT Rule 15.2) and the transmittal and search fees (§ 1.445) may be made in full at the time the international application papers required by paragraph (b) of this section are deposited or within one month thereafter.

Jump to MPEP Source · 37 CFR 1.431Filing, Search & Examination FeesIntervening Rights After ReinstatementMaintenance Fee Amounts
Topic

Assignee as Applicant Signature

1 rules
StatutoryRequiredAlways
[mpep-1810-292ab2ade28758b25b4f9de6]
Late Payment of International Fees Requires Notification and Time Limit
Note:
If international filing, transmittal, and search fees are not paid within one month from receipt of the application, the applicant will be notified to pay the deficient fees plus a late payment fee within a non-extendable one-month period.

[Editor Note: See pre-AIA 37 CFR 1.431 in Appendix R for para. (b)(3)(iii) applicable to applications filed before September 16, 2012]

If the international filing, transmittal and search fees are not paid within one month from the date of receipt of the international application and prior to the sending of a notice of deficiency, which imposes a late payment fee (§ 1.445(a)(6)), the applicant will be notified and given a one month non-extendable time limit within which to pay the deficient fees plus the late payment fee.

Jump to MPEP Source · 37 CFR 1.431Assignee as Applicant SignatureApplicant and Assignee Filing Under AIAMaintenance Fee Amounts
Topic

Article 19 Amendment Timing

1 rules
StatutoryInformativeAlways
[mpep-1810-c4e3a7fbe5729eb52d5494aa]
Deficiency Correction Required for PCT Article 11(1)
Note:
If the requirements under PCT Article 11(1) are not met upon initial receipt, the receiving Office will invite corrections within a set time limit.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Article 19 Amendment TimingInternational Filing DateReceiving Office (RO/US)
Topic

PCT Claims Format

1 rules
StatutoryRecommendedAlways
[mpep-1810-9ffc9d791088fecac881461e]
All Application Sheets Must Be Received Same Day
Note:
Applicants must ensure all application sheets are deposited with the receiving office on the same day to avoid forfeiting priority claims.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431PCT Claims FormatReceiving Office (RO/US)PCT International Application Filing
Topic

Statement Under Article 19

1 rules
StatutoryPermittedAlways
[mpep-1810-7ac2d183b61fc1a6e9010503]
Initial Receipt Date as International Filing Date if Proper Correction
Note:
If the initial application contained a priority claim and proper incorporation by reference, it can retain its initial receipt date as the international filing date with a timely correction completely contained in the earlier application.

An international filing date is accorded to the earliest date on which the requirements under PCT Article 11(1) were satisfied. If the requirements under PCT Article 11(1) are not satisfied as of the date of initial receipt of the international application papers, the receiving Office will invite applicant to correct the deficiency within a set time limit. See PCT Article 11(2) and PCT Rule 20.3. In such case, the international filing date will be the date on which a timely filed correction is received by the receiving Office. If the defect under PCT Article 11(1) is that the purported international application fails to contain a portion which on its face appears to be a description or claims, and if the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. See PCT Rules 4.18 and 20.6. If the defect under PCT Article 11(1) is not timely corrected, the receiving Office will promptly notify the applicant that the application is not and will not be treated as an international application. See PCT Rule 20.4. Where all the sheets pertaining to the same international application are not received on the same day by the receiving Office, in most instances, the date of receipt of the application will be amended to reflect the date on which the last missing sheets were received. As an amended date of receipt may cause the priority claim to be forfeited, applicants should assure that all sheets of the application are deposited with the receiving Office on the same day. If the application, on its initial receipt date, contained a priority claim and a proper incorporation by reference statement, the initial receipt date may be retained as the international filing date if the submitted correction was completely contained in the earlier application. Again see PCT Rules 4.18 and 20.6.

Jump to MPEP Source · 37 CFR 1.431Statement Under Article 19PCT Claims FormatInternational Filing Date

Citations

Primary topicCitation
Key Changes Under AIA
Receiving Office (RO/US)
35 U.S.C. § 100
AIA Effective Dates
Nationals and Residents
35 U.S.C. § 361(a)
AIA Effective Dates
PCT International Application Filing
35 U.S.C. § 361(c)
Receiving Office (RO/US)35 U.S.C. § 363
AIA Effective Dates
Nationals and Residents
37 CFR § 1.421
AIA Effective Dates
Article 19 Amendment Scope
Assignee as Applicant Signature
Filing, Search & Examination Fees
International Stage Fees
Nationals and Residents
PCT International Application Filing
Patent Cooperation Treaty
37 CFR § 1.431
AIA Effective Dates37 CFR § 1.432
AIA Effective Dates
Assignee as Applicant Signature
Filing, Search & Examination Fees
International Stage Fees
37 CFR § 1.445
AIA Effective Dates
Assignee as Applicant Signature
Filing, Search & Examination Fees
International Stage Fees
37 CFR § 1.445(a)(6)
Patent Cooperation TreatyMPEP § 1805
Article 19 Amendment Scope
Article 19 Amendment Timing
International Filing Date
PCT Claims Format
Patent Cooperation Treaty
Receiving Office (RO/US)
Statement Under Article 19
PCT Article 11(1)
AIA Effective Dates
International Stage Fees
PCT Article 14(3)(a)
AIA Effective Dates
Assignee as Applicant Signature
Filing, Search & Examination Fees
International Stage Fees
PCT Rule 15.2
AIA Effective Dates
International Stage Fees
PCT Rule 16bis.1(e)
Article 19 Amendment Scope
International Filing Date
Nationals and Residents
Patent Cooperation Treaty
Receiving Office (RO/US)
PCT Rule 19.4
Article 19 Amendment Scope
Article 19 Amendment Timing
International Filing Date
PCT Claims Format
Patent Cooperation Treaty
Receiving Office (RO/US)
Statement Under Article 19
PCT Rule 20.4
AIA Effective Dates
Article 19 Amendment Scope
Patent Cooperation Treaty
Section 207 of the Administrative Instructions
AIA Effective Dates
Article 19 Amendment Scope
Article 19 Amendment Timing
International Filing Date
PCT Claims Format
Patent Cooperation Treaty
Receiving Office (RO/US)
Statement Under Article 19
PCT Rules 4.18

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31