The Patent Cooperation Treaty (PCT, 158 contracting states so far) provides a streamlined process for filing international patent applications, allowing inventors to seek protection in multiple countries, including China. Entering the PCT national phase in China is a critical step to secure patent rights in one of the world’s largest markets. This guide explains the process, requirements, deadlines, costs, and practical tips to ensure a successful national phase entry in China.
What is the PCT National Phase?
The PCT national phase is the stage where an international PCT application (See more about the PCT international phase) transitions to individual countries or regions for further processing. In China, this involves submitting the application to the China National Intellectual Property Administration (CNIPA) for examination under Chinese patent law.
Key Deadlines for Entering the PCT National Phase in China
Timing is critical for a successful national phase entry. Missing deadlines can result in the loss of patent rights.
Standard Deadline
You must enter the national phase in China within 30 months of the priority date (the earliest priority date if there is more than one.
Extended Deadline
China allows a 2-month grace period (up to 32 months) with the payment of a surcharge of 1000 CNY for late entry.
Tips:
- File early to avoid surcharges and ensure sufficient time to prepare required documents.
- Know more time limits for entering the national/ regional Phase in other contracting states.
- We strongly recommend using our official fee calculator to compute the time limits for PCT entry and examination fees in China.
Step-by-Step Process for PCT National Phase Entry in China
Appoint a Patent Agent
Foreign applicants MUST engage a CNIPA-registered patent agency to act on their behalf, as direct filings by non-residents are not permitted.
Tip:
- Choose an agent with expertise in Chinese patent law and fluency in English to avoid communication issues.
- Attorney fees vary depending on the complexity of the application. You may require a fixed price/ rate to ensure transparent pricing and avoid hidden costs.
- Click here to verify your potential patent attorney.
- It is perfect if your attorney can handle the translation, too. Our fee rate is 0.1 USD per foreign word into Chinese.
Prepare Required Documents
To enter the PCT national phase in China, applicants must submit the following:
- Request Form
Applicants MUST select an invention or utility model, and input a correct PCT application number in the form. - Chinese Translation
China patent filing requires a full translation of the application into Chinese, including the description, claims, drawings (if text contained), abstract, and amendment (if applicable), if the international application was filed in a foreign language, even if in traditional Chinese. Tips for accurate translations:- Translate the original text accurately and completely, even if some expressions should be corrected or removed.
- Ensure consistency in technical terms for the entire application document.
- Power of Attorney (POA)
A signed Power of Attorney must be submitted. No legalization or notarization is required. - Amendments (Optional)
Applicants may submit voluntary amendments to claims or descriptions based on Articles 19/34 (submitted within 2 months from the entering date), or 28/41 (submitted while entering) of PCT, where such amendments are the basis of examination in China. - Assignment Document (Optional)
If the applicant has been changed since the entry of the national phase, an assignment document for the priority must be provided. - Certified Priority Document (Optional)
If the priority document has not been submitted during the international phase, it must be provided at the national phase entry.
File the Application
- Submit the application and documents to CNIPA via your patent agent, either electronically or in paper form.
- Tip: Electronic filing is faster and more cost-effective. Ensure your agent confirms receipt by CNIPA as below:
Pay Required Fees
The costs associated with entering the national phase in China include:
- CNIPA Fees for filing
- Filing fees: RMB 900 for invention/ RMB 500 for utility model.
- Surcharge (additional filing fees):
- Excess claim fees (if applicable): RMB 150 per claim beyond 10;
- Excess page fees (if applicable): RMB 50 per page beyond 30.
- Publication fees (for inventions): RMB 50.
- Priority fees (if applicable): RMB 80 per priority.
- Grace Period fees (if applicable): RMB 1000.
- CNIPA Fees post-filing
- Substantive examination fees for inventions (36 months): RMB 2,500
- Registration fees: see the annuity of the grant year.
- Maintenance fees: see the annual fee schedule.
Tips:
- Download the complete fee schedule and read more in section II of Patent Fees – PCT Filing Fees;
- Read more about the official fees for patents in China.
- Click here for the currency rates for RMB (CNY).
- Strongly recommend using our calculator for official fees to estimate in advance as below.
Formal Examination
- Utility models are only subject to formal examination.
- A patent evaluation report (N/A for invention) can be requested to enhance enforceability in patent licensing, customs intellectual property registration, e-commerce platforms, and exhibitions.
Request Substantive Examination for Inventions
- Unlike some jurisdictions, China requires a separate request for substantive examination, which must be filed within 3 years from the priority date.
- Cost: CNY 2,500 for invention; N/A for utility model.
- Tip: request the examination WHILE filing the entry, and pay the examination fee of 2500 CNY AFTER the entry has been approved (rather than doing it while filing, to avoid wasting money if the entry request is rejected).
Respond to Office Actions
- CNIPA may issue OAs (1-3 times typically) requesting clarifications, answers, or amendments. Respond promptly through your agent to avoid delays.
- Common Issues: Incorrect translations, unclear scope of claims, lack of novelty/ inventiveness.
Rejection and Appeal (optional)
- If CNIPA rejects the application, the applicant may file a request for re-examination within 3 months.
- Appeals may be taken to the Beijing Intellectual Property Court if the reexamination decision is unfavourable.
Grant and Maintenance
- If allowed, you must register it by paying the annuity during the grant year to obtain a patent certificate and gazette.
- You must pay annual fees to maintain the patent in force before the PCT filing date of each year.
- Tip: Utilize our renewal reminder system to manage your patents in China for free, and our maintenance fee calculator.
5 Common Mistakes when Entering
Late Filing or Payment
Failing to file the application or pay ALL the required government fees within the 30+2 months.
Translation Issues
Discrepancies (e.g., omissions, mistranslations) exist between the Chinese translation and the PCT original application (i.e., the PCT international publication version).
Missing Documents
Failing to submit the required request form, claims, description, abstract, drawings, POA, or amendments (if any).
Wrong Patent Type
Selecting an inappropriate patent type (e.g., procedure/ method only can be filed as an invention rather than a utility model).
Procedural Management Errors
Ignoring correction (e.g., wrong PCT number, different applicants) notices from CNIPA.
FAQs: PCT National Phase in China
Q: Can I file directly with CNIPA?
A: Foreign applicants must hire a CNIPA-registered patent agent, unless they have habitual residence or a business office in China.
Q: What happens if I miss the 30-month deadline?
A: You can file within 32 months with a surcharge, but no further extensions are allowed.
Q: Can I file both an invention and a utility model when entering?
No, you cannot.
When a PCT application enters the Chinese national phase, you must choose to file either as an invention or a utility model, but not both, because the PCT application is a single application.
However, you can utilize double patenting via the Paris route.
Q: Can I amend the application after entering the national phase?
A: Yes. Amendments include active amendments and passive amendments, but please don’t add any new subject matters:
Proactive amendments
- For invention applications, there are THREE opportunities to amend:
- Based on Article 28/41 of PCT, it must be submitted at the same time as entering the Chinese national phase;
- When the applicant submits a request for substantive examination;
- Within 3 months of receiving the notice of entering the substantive examination.
- However, for utility model applications, besides the 28/41 of PCT above, there is only ONE opportunity to amend:
- Within 2 months of the filing (entering) date in China.
Passive amendments.
- After receiving OAs, applicants can amend their applications according to the issues pointed out in the OAs.
Know more about the amendment under Article 19/34 during the international phase.
Q: Does the national phase in China cover Hong Kong, Taiwan, or Macau?
Hong Kong
PCT applies to Hong Kong, effective July 1, 1997.
Applicants may record a standard patent within 6 months from CNIPA’s publication date, and register it within 6 months from CNIPA’s granting date. See more about applying for a standard patent in Hong Kong.
Besides that, the applicant may file a short-term patent application within 6 months from the date of entering the national phase in China. See more about applying for a short-term patent in Hong Kong.
Taiwan, Macau
PCT is NOT applicable to Macau, but any applicant from a Paris Convention member may claim a priority within 12 months from the priority date, since the Paris Convention is applicable to Macau. (Portugal is one of the original signatories of the Paris Convention (1883) and its protection was extended to the territory prior to the transfer of sovereignty to China on December 20th, 1999; after the transfer, China issued a notification to WIPO clarifying that the country would be responsible for the territory’s international obligations.) See more How To Protect Patents In Macau.
Taiwan is NOT a member of PCT and therefore is unable to accept the PCT application. Any applicant from a WTO member may claim a priority within 12 months from the priority date, since Taiwan is a member state of WTO. See more about PCT in Taiwan.
Q: How long does the filing take?
A: Generally, applicants will receive the notification of entering the Chinese national phase and approval of preliminary examination with a Chinese application number in 2-3 weeks, and then await further examination.
Q: How long does the examination process take?
A: Typically 1–3 years, depending on the complexity and CNIPA’s workload. PPH is available for accelerating the prosecution.
Q: Can you accelerate the examination？
A: Yes, you can. See more about How to Request PPH for Patent Applications in China.
Q: Can you save additional filing fees for claims by reducing the number of claims?
A: No. The number of claims is determined by its original PCT international application.
Q: Can a micro entity request a reduction in government fees?
A: Since foreign applicants cannot provide recognized income proof from China, obtaining a reduction from official fees is impossible unless they run a business and pay tax in China.
Q: How to reduce official fees for the national phase in China?
A: The following circumstances where exemptions may be approved:
- If the CNIPA is the receiving office for your PCT application, the filing fee and the additional filing fee will be exempted.
- If the CNIPA issues an international search report and an international preliminary examination report, the substantive examination fee will be exempted.
- If the European Patent Office, Japan Patent Office, and Swedish Patent Office issue an international search report, there is a 20% discount for the substantive examination fee.
Q: What kind of subject matter cannot be patented?
A: For inventions, business methods cannot be patented.
For utility models, the method/ process cannot be patented and should be converted into invention applications.
Further Information
CNIPA: FAQs about PCT international applications entering the national phase in China.
WIPO: PCT Applicant’s Guide for China.
Know more about tips on the PCT national phase in other main countries.
Know more about the procedure of patent application in China.
Plan to extend your PCT into China？
The national phase costs will vary depending on the number of words translated and the number of claims. If you need a detailed quotation for China patent filing, please email us with your PCT application number at contact@gbaiplawyer.com.
