Applicants and Inventors

Any resident or national of a Contracting State may file

an international application. See

PCT Article 9

and

PCT Rule 18

. The

applicant can be an individual, corporate entity or other concern. Where there are two

or more applicants, at least one of them must be a national or a resident of a

Contracting State.

The question of whether an applicant is a resident or

national of a Contracting State depends on the national law of that State and is decided

by the receiving Office. Also, possession of a real and effective industrial or

commercial establishment in a Contracting State may be considered residence in that

State, and a legal entity constituted according to the national law of a Contracting

State is considered a national of that State.

Where the inventor is not the applicant, indications

concerning the inventor must nevertheless be made in the Request where the national law

of at least one of the designated States requires that the name of the inventor be

furnished at the time of filing a national application (

PCT Rule

4.1(a)(iv)

). See PCT Applicant’s Guide, International Phase,

Annexes B1 and B2, for those States and regional patent systems which require such

indications. Furthermore, information concerning the inventor is required by most

countries for the national phase. In such a case, the check-box “inventor only” should

be marked, the inventor’s name and address indicated in Box No. III, and the inventor’s

residence and nationality omitted.

I.

APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS

HAVING AN INTERNATIONAL FILING DATE ON OR AFTER SEPTEMBER 16, 2012

37 CFR 1.421 Applicant for international application.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

on or after September 16, 2012]

name and address indicated in Box No. III, and the inventor’s

residence and nationality omitted.

I.

APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS

HAVING AN INTERNATIONAL FILING DATE ON OR AFTER SEPTEMBER 16, 2012

37 CFR 1.421 Applicant for international application.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

on or after September 16, 2012]

(a) Only residents or nationals of the United

States of America may file international applications in the United

States Receiving Office. If an international application does not

include an applicant who is indicated as being a resident or national of

the United States of America, and at least one applicant:

(1) Has indicated a residence or

nationality in a PCT Contracting State, or

(2) Has no residence or nationality

indicated, applicant will be so notified and, if the

international application includes a fee amount equivalent to

that required by §

1.445(a)(4)

, the international application

will be forwarded for processing to the International Bureau

acting as a Receiving Office (see also §

1.412(c)(6)

).

(b) Although the United States Receiving

Office will accept international applications filed by any applicant who

is a resident or national of the United States of America for

international processing, for the purposes of the designation of the

United States, an international application will be accepted by the

Patent and Trademark Office for the national stage only if the applicant

is the inventor or other person as provided in §

1.422

or §

1.424

. Joint inventors must jointly apply for an

international application.

(c) A registered attorney or agent of the

applicant may sign the international application Request and file the

international application for the applicant. A separate power of

attorney from each applicant may be required.

(d) Any indication of different applicants for

the purpose of different Designated Offices must be shown on the Request

portion of the international application.

al application.

(c) A registered attorney or agent of the

applicant may sign the international application Request and file the

international application for the applicant. A separate power of

attorney from each applicant may be required.

(d) Any indication of different applicants for

the purpose of different Designated Offices must be shown on the Request

portion of the international application.

(e) Requests for changes in the indications

concerning the applicant, agent, or common representative of an

international application shall be made in accordance with

PCT Rule 92bis

and may be

required to be signed by all applicants.

(f) Requests for withdrawals of the

international application, designations, priority claims, the Demand, or

elections shall be made in accordance with

PCT Rule

90bis

and must be signed

by all applicants. A separate power of attorney from the applicants will

be required for the purposes of any request for a withdrawal in

accordance with

PCT Rule

90bis

which is not signed by

all applicants.

37 CFR 1.422 Legal representative as applicant in an international

application.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

on or after September 16, 2012]

If an inventor is deceased or under legal

incapacity, the legal representative of the inventor may be an applicant in an

international application which designates the United States of America.

II.

APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS

HAVING AN INTERNATIONAL FILING DATE BEFORE SEPTEMBER 16, 2012

37 CFR 1.421 (pre-AIA) Applicant for international application.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

before September 16, 2012]

be an applicant in an

international application which designates the United States of America.

II.

APPLICANT FOR PURPOSES OF THE UNITED STATES IN INTERNATIONAL APPLICATIONS

HAVING AN INTERNATIONAL FILING DATE BEFORE SEPTEMBER 16, 2012

37 CFR 1.421 (pre-AIA) Applicant for international application.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

before September 16, 2012]

(a) Only residents or nationals of the United

States of America may file international applications in the United

States Receiving Office. If an international application does not

include an applicant who is indicated as being a resident or national of

the United States of America, and at least one applicant:

(1) Has indicated a residence or

nationality in a PCT Contracting State, or

(2) Has no residence or nationality

indicated, applicant will be so notified and, if the

international application includes a fee amount equivalent to

that required by §

1.445(a)(4)

, the international application

will be forwarded for processing to the International Bureau

acting as a Receiving Office (see also §

1.412(c)(6)

).

(b) Although the United States Receiving

Office will accept international applications filed by any resident or

national of the United States of America for international processing,

for the purposes of the designation of the United States, an

international application must be filed, and will be accepted by the

Patent and Trademark Office for the national stage only if filed, by the

inventor or as provided in §§

1.422

or

1.423

. Joint

inventors must jointly apply for an international application.

(c) For the purposes of designations other than

the United States, international applications may be filed by the

assignee or owner.

(d) A registered attorney or agent of the

applicant may sign the international application Request and file the

international application for the applicant. A separate power of

attorney from each applicant may be required.

ntly apply for an international application.

(c) For the purposes of designations other than

the United States, international applications may be filed by the

assignee or owner.

(d) A registered attorney or agent of the

applicant may sign the international application Request and file the

international application for the applicant. A separate power of

attorney from each applicant may be required.

(e) Any indication of different applicants for

the purpose of different Designated Offices must be shown on the Request

portion of the international application.

(f) Requests for changes in the indications

concerning the applicant, agent, or common representative of an

international application shall be made in accordance with

PCT Rule 92bis

and may be

required to be signed by all applicants.

(g) Requests for withdrawals of the

international application, designations, priority claims, the Demand, or

elections shall be made in accordance with

PCT Rule

90bis

and must be signed

by all applicants. A separate power of attorney from the applicants will

be required for the purposes of any request for a withdrawal in

accordance with

PCT Rule

90bis

which is not signed by

all applicants. The submission of a separate power of attorney may be

excused upon the request of another applicant where one or more

inventors cannot be found or reached after diligent effort. Such a

request must be accompanied by a statement explaining to the

satisfaction of the Director the lack of the signature concerned.

37 CFR 1.422 (pre-AIA) When the inventor is dead.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

before September 16, 2012]

In case of the death of the inventor, the legal

representative (executor, administrator, etc.) of the deceased inventor may file

an international application which designates the United States of America.

37 CFR 1.423 (pre-AIA) When the inventor is insane or legally

incapacitated.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C

ed under

35 U.S.C. 363

before September 16, 2012]

In case of the death of the inventor, the legal

representative (executor, administrator, etc.) of the deceased inventor may file

an international application which designates the United States of America.

37 CFR 1.423 (pre-AIA) When the inventor is insane or legally

incapacitated.

[Editor Note: Applicable to patent applications

filed under

35 U.S.C. 363

before September 16, 2012]

In case an inventor is insane or otherwise legally

incapacitated, the legal representative (guardian, conservator, etc.) of such

inventor may file an international application which designates the United

States of America.

For international applications having international

filing dates before September 16, 2012, only inventors (and legal representatives of

deceased or legally incapacitated inventors) can be applicants for purposes of the

designation of the United States. Therefore, for the purpose of entering the

national stage in the United States of America, the inventor(s) must be indicated in

the PCT Request as “applicant and inventor” for at least the United States.

A legal representative of a deceased inventor may be

indicated in the international application as an applicant for the purposes of the

United States. In such a case, the indication in the Request (in Box II or III, as

appropriate) for the legal representative should be made as follows: SMITH, Alfred,

legal representative of JONES, Bernard (deceased), followed by indications of the

address, nationality and residence of the legal representative. The legal

representative should be indicated as an “applicant only” except where the legal

representative is also an inventor, in which case the legal representative should be

indicated as an “applicant and inventor.” The name of the deceased inventor should

also appear in a separate box (in Box III) with the indication of “deceased” (e.g.,

“JONES, Bernard (deceased))” and identified as an “inventor only” and not as an

applicant.

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