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This chapter covers formalities activities that may occur at any stage of the processing of an application and may not have been covered in detail elsewhere in this manual.
Although the ordinary dictionary definitions of these words overlap, they are used in the Act and Rules in quite distinct and specific senses.
Where the information was incorrect at the time of filing a correction should be requested. If the information was correct but has since changed an amendment should be requested. Section 117 deals with corrections. Section 19 of the Act deals with amendment. A written request should normally be filed in both cases.
If an agent/applicant informs the office that an error was made at the time of filing, it may be possible to correct the application retrospectively to the date of filing by making a written request. Supporting evidence is not normally required unless there is reason to doubt the accuracy or validity of the information supplied.
If the correction request relates to a name then the request must be made on a Form 20. Any other part of the Form 1 (for example, priority details) Form 9A, Form 7, or the priority document may be corrected by making a written request. All Form 20s will be routed to Register Admin section in the first instance who will forward any s.117 corrections to Formalities to deal with using the message Form 20 correction.
A minute should be produced in PDAX explaining the background of the correction sought and, if there is any doubt as to the validity of the request, a recommendation as to its allowability. The case should then be forwarded to the Casework Lead.
If the request relates to an error introduced by the electronic delivery of the application then it can be considered under rule 105(4). However, this does not apply if the error was already present prior to the transmission of the application.
If the correction sought is for the description or drawings (including adding a page or drawing missing from an application as filed see 5.33 - 35 and 5.35 and 5.52 then the Formalities Examiner should write a minute to the patent examiner dealing with the application. If the request is to correct the erroneous withdrawal of an application see 12.94.
After the request has been considered, the file is returned to the Formalities Examiner with instructions for further action, for example, to add a footnote, or to inform the agent if the correction is allowable. The Casework Lead will have made the correction on COPS and corrected the Form 1 by using the enhancer function. If the correction involves changing a priority (earliest) date then the applications time limits will also need to be changed on COPS. If a request to correct a name has been made other than on Form 20 then a form should be made up in the Office and the applicant/agent advised in the reply letter that future requests must be made using Form 20.
If a Formalities Examiner detects a clerical error in any part of the correction process they should refer this to the Casework Lead for consideration.
A request to amend a Form 1 should also be made in writing and should be accompanied by a copy of the form clearly identifying the proposed amendment. A reason will be required for any amendment please also see MOPP 19.05. If only a name (including an agents change of name) requires alteration, this must be done on Form 20 which should be dealt with by Register Admin Section. This does not include amendment of the address for service which can be requested by writing to the Office giving the application number and the correct details (r.49(3)).
Provided that a Form 7 has not yet been filed, an applicant may be added, deleted or substituted upon a written request. However, when Form 7 has already been filed, then the change must be notified under s.30 and actioned by Register Admin Section. This is due to a possible change in the derivation of right. (See MOPP 19.09).
A minute should be added to the dossier explaining the background of the amendment sought together with a recommendation as to its allow ability. The case should then be forwarded to the Casework Advisor via the Casework Lead.
After the request has been considered, the file is normally returned to the Formalities Examiner with instruction for any necessary action, for example, to add a footnote or to inform the Agent whether the amendment is allowable.
The Casework Advisor will have made the amendment on COPS and enhanced the Form 1.
There is no provision for properly paid fees to be refunded. However it is Office practice to grant ex-gratia refunds in certain circumstances as set out below:
a) A refund of Form 9A can take place when an application is withdrawn, refused or the form is withdrawn prior to the issue of the search report;
b) A refund of the Form 10 can take place when the application is withdrawn, refused or the applicant/agent requests a refund of the form prior to the issue of the examination report.
c) A refund of the application fee can take place when the application is withdrawn, refused or the applicant/agent requests a refund prior to the issue of the preliminary examination report.
In the case of a) and b), where the dossier has