EPO Online Filing 5.08 - European Patent Office

EPO Online Filing 5.08 - European Patent Office
EPO Online Filing
User Guide
Version 5.08
Copyright© European Patent Office
All rights reserved
Last update: 20/11/2014
Document version: OLF5-08_UserGuide_EN_141120.docx
EPO Online Filing 5.08 – User Guide
Table of contents
Table of contents
1
Legal notices
8
2
Introduction
9
2.1
2.2
3
Overview of Online Filing
3.1
3.2
3.3
3.4
4
Help and Support ............................................................................................................................... 10
Typographical conventions ................................................................................................................ 10
Network-based online filing................................................................................................................ 13
National procedures in Online Filing .................................................................................................. 15
Updating the Online Filing software ................................................................................................... 15
Help on using Online Filing ................................................................................................................ 16
File Manager
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
11
18
Toolbars............................................................................................................................................. 21
Folders............................................................................................................................................... 22
Applications ....................................................................................................................................... 25
4.3.1
Creating a new application .................................................................................................. 25
4.3.2
Saving applications ............................................................................................................. 27
4.3.3
Renaming applications ........................................................................................................ 27
4.3.4
Moving applications............................................................................................................. 27
4.3.5
Deleting applications ........................................................................................................... 28
4.3.6
Previewing applications....................................................................................................... 29
Templates .......................................................................................................................................... 31
4.4.1
Creating a new template ..................................................................................................... 31
4.4.2
Using a template ................................................................................................................. 35
4.4.3
Modifying a template ........................................................................................................... 35
Workflow and status .......................................................................................................................... 37
4.5.1
Changing the status of an application in File Manager........................................................ 37
4.5.2
Changing the status of an application in the form ............................................................... 39
Validation ........................................................................................................................................... 40
Internal Notes .................................................................................................................................... 42
Address Book .................................................................................................................................... 44
4.8.1
Creating names in the Address Book .................................................................................. 46
4.8.2
Routes and roles ................................................................................................................. 47
4.8.3
Adding names from the Address Book to a form................................................................. 48
4.8.4
Saving names from a form to the Address Book ................................................................. 50
4.8.5
Exporting Address Book names .......................................................................................... 52
4.8.6
Importing Address Book names .......................................................................................... 53
User Preferences ............................................................................................................................... 56
4.9.1
Startup ................................................................................................................................ 56
4.9.2
Language ............................................................................................................................ 57
4.9.3
Signing preferences ............................................................................................................ 57
4.9.4
Confirmations ...................................................................................................................... 57
4.9.5
Working directories ............................................................................................................. 58
4.9.6
Network settings.................................................................................................................. 59
System Preferences .......................................................................................................................... 60
4.10.1 Security and user management .......................................................................................... 61
4.10.2 Password policy .................................................................................................................. 62
4.10.3 Signing settings ................................................................................................................... 66
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4.11
4.12
4.13
5
5.3
5.4
5.5
6
4.10.4 Runtime variables ............................................................................................................... 67
4.10.5 PMS gateway interface ....................................................................................................... 68
4.10.6 Filing settings ...................................................................................................................... 69
User Administration ........................................................................................................................... 70
4.11.1 Users................................................................................................................................... 72
4.11.2 Unblocking users................................................................................................................. 74
4.11.3 Changing your password .................................................................................................... 76
4.11.4 Groups ................................................................................................................................ 77
4.11.5 Profiles for group authorisations ......................................................................................... 79
4.11.6 List of privileges .................................................................................................................. 81
4.11.7 Mapping profiles to groups .................................................................................................. 84
4.11.8 Sharing folders with groups................................................................................................. 85
Fee management............................................................................................................................... 88
Maintenance table viewer .................................................................................................................. 90
Processing applications
5.1
5.2
6.2
6.3
6.4
91
Preparing documents for attachment ................................................................................................. 91
Signing applications ........................................................................................................................... 93
5.2.1
Alphabetical signatures ....................................................................................................... 96
5.2.2
Facsimile signatures ........................................................................................................... 98
5.2.3
Smart cards ......................................................................................................................... 99
5.2.4
Checking the smart card ................................................................................................... 103
5.2.5
Soft certificates ................................................................................................................. 104
5.2.6
Non-repudiation signature ................................................................................................. 106
Sending applications........................................................................................................................ 107
5.3.1
Viewing receipts ................................................................................................................ 108
5.3.2
Batch sending ................................................................................................................... 109
Exporting data from Online Filing..................................................................................................... 110
5.4.1
Exporting items ................................................................................................................. 111
5.4.2
Deleting items from the database after archiving .............................................................. 113
5.4.3
Exporting data as XML to ZIP file ...................................................................................... 114
5.4.4
Exporting data as XML to folder ........................................................................................ 115
Importing data into Online Filing ...................................................................................................... 116
5.5.1
Importing data as XML from ZIP file .................................................................................. 117
5.5.2
Importing data as XML from folder .................................................................................... 119
EP(1001E2K)
6.1
Table of contents
120
EP(1001E2K) Request .................................................................................................................... 122
6.1.1
Request details ................................................................................................................. 122
6.1.2
Divisional application......................................................................................................... 125
6.1.3
Reference ......................................................................................................................... 126
EP(1001E2K) Names ...................................................................................................................... 130
6.2.1
Applicants ......................................................................................................................... 131
6.2.2
Representatives ................................................................................................................ 136
6.2.3
Inventors ........................................................................................................................... 137
EP(1001E2K) States........................................................................................................................ 142
6.3.1
Designating contracting states .......................................................................................... 143
6.3.2
Extension states ................................................................................................................ 145
6.3.3
Validation states ................................................................................................................ 145
EP(1001E2K) Priority....................................................................................................................... 146
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6.5
6.6
6.7
6.8
7
7.2
7.3
7.4
7.5
7.6
7.7
7.8
8
EP(1001E2K) Biological Material ..................................................................................................... 149
EP(1001E2K) Documents................................................................................................................ 150
6.6.1
Attaching PDF files............................................................................................................ 152
6.6.2
Attaching XML and PatXML files ....................................................................................... 157
6.6.3
Technical documents in other languages .......................................................................... 158
6.6.4
Pre-conversion archive ..................................................................................................... 162
6.6.5
Sequence listings .............................................................................................................. 163
6.6.6
Additional documents ........................................................................................................ 166
6.6.7
Viewing attached documents ............................................................................................ 168
EP(1001E2K) Fee Payment ............................................................................................................ 170
6.7.1
Payment details ................................................................................................................ 170
6.7.2
Fee selection ..................................................................................................................... 173
EP(1001E2K) Annotations ............................................................................................................... 176
Euro-PCT(1200E2K)
7.1
8.4
8.5
8.6
177
Euro-PCT(1200E2K) EP Phase ....................................................................................................... 179
7.1.1
Entry into the European phase.......................................................................................... 179
7.1.2
Past Record ...................................................................................................................... 181
Euro-PCT(1200E2K) Names ........................................................................................................... 182
Euro-PCT(1200E2K) States ............................................................................................................ 186
Euro-PCT(1200E2K) Biological Material.......................................................................................... 188
Euro-PCT(1200E2K) Documents..................................................................................................... 189
7.5.1
Amendments and translations ........................................................................................... 190
7.5.2
Document Overview .......................................................................................................... 193
7.5.3
Sequence listings .............................................................................................................. 198
7.5.4
Additional documents ........................................................................................................ 201
7.5.5
Pre-conversion archive ..................................................................................................... 204
7.5.6
Previewing attached documents ....................................................................................... 205
Euro-PCT(1200E2K) Fee Payment ................................................................................................. 207
7.6.1
Payment details ................................................................................................................ 207
7.6.2
Fee selection ..................................................................................................................... 209
Euro-PCT(1200E2K) Annotations .................................................................................................... 212
Reusing previous data for filing with Euro-PCT(1200E2K) .............................................................. 213
EP(1038E)
8.1
8.2
8.3
Table of contents
214
EP(1038E) Application Number ....................................................................................................... 217
EP(1038E) Names ........................................................................................................................... 217
EP(1038E) Documents .................................................................................................................... 219
8.3.1
Document types for EP(1038E) by category ..................................................................... 219
8.3.2
Attaching documents......................................................................................................... 225
8.3.3
Filing non-public documents ............................................................................................. 228
8.3.4
Filing appeal documents ................................................................................................... 229
8.3.5
Viewing attached documents ............................................................................................ 230
EP(1038E) Fee Payment ................................................................................................................. 231
8.4.1
Payment details ................................................................................................................ 231
8.4.2
Fee selection ..................................................................................................................... 234
8.4.3
Designation of states......................................................................................................... 239
EP(1038E) Annotations ................................................................................................................... 241
Reusing previous data for filing with EP(1038E).............................................................................. 242
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9
EP(Oppo)
9.1
9.2
9.3
9.4
9.5
9.6
9.7
Table of contents
243
EP(Oppo) Opposition....................................................................................................................... 246
9.1.1
Reference ......................................................................................................................... 247
9.1.2
Grounds ............................................................................................................................ 248
EP(Oppo) Names ............................................................................................................................ 249
9.2.1
Persons in conjunction with "Notice of opposition or intervention" .................................... 249
9.2.2
Persons in conjunction with "Other action"........................................................................ 254
EP(Oppo) Requests......................................................................................................................... 257
EP(Oppo) Documents...................................................................................................................... 261
9.4.1
Document types for EP(OPPO) as defined by functional role ........................................... 261
9.4.2
Attaching documents......................................................................................................... 263
9.4.3
Filing non-public documents ............................................................................................. 266
9.4.4
Evidence - publications ..................................................................................................... 267
9.4.5
Evidence - other ................................................................................................................ 269
EP(Oppo) Fee Payment .................................................................................................................. 270
EP(Oppo) Annotations ..................................................................................................................... 273
Previewing the completed form........................................................................................................ 274
10 PCT/RO/101
278
10.1
Creating a new PCT/RO/101 application ......................................................................................... 281
10.1.1 Saving the form ................................................................................................................. 283
10.1.2 Working with templates ..................................................................................................... 284
10.2 PCT/RO/101 Request ...................................................................................................................... 286
10.3 PCT/RO/101 States ......................................................................................................................... 289
10.4 PCT/RO/101 Names ........................................................................................................................ 292
10.4.1 Applicant ........................................................................................................................... 294
10.4.2 Inventor ............................................................................................................................. 298
10.4.3 Agent................................................................................................................................. 300
10.4.4 Power of attorney document ............................................................................................. 303
10.4.5 Adding names from the Address Book to a form and vice versa....................................... 307
10.5 PCT/RO/101 Priority ........................................................................................................................ 310
10.6 PCT/RO/101 Biology ....................................................................................................................... 313
10.7 PCT/RO/101 Declarations ............................................................................................................... 315
10.7.1 Declaration as to the identity of the inventor ..................................................................... 316
10.7.2 Declaration as to applicant's entitlement to apply for and be granted a patent ................. 317
10.7.3 Declaration as to applicant's entitlement to claim priority .................................................. 318
10.7.4 Declaration of inventorship................................................................................................ 319
10.7.5 Declaration as to non-prejudicial disclosures or exceptions to lack of novelty .................. 322
10.7.6 Previewing declaration sheets .......................................................................................... 323
10.8 PCT/RO/101 Contents ..................................................................................................................... 325
10.8.1 International Application .................................................................................................... 328
10.8.2 PDF attachments .............................................................................................................. 329
10.8.3 Single specification file (PDF) ........................................................................................... 332
10.8.4 XML attachments .............................................................................................................. 335
10.8.5 Accompanying Items ......................................................................................................... 338
10.8.6 Sequence listing ................................................................................................................ 340
10.8.7 Pre-conversion archive ..................................................................................................... 343
10.9 PCT/RO/101 Fees ........................................................................................................................... 345
10.10 PCT/RO/101 Payment ..................................................................................................................... 347
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Table of contents
10.11 PCT/RO/101 Annotate ..................................................................................................................... 348
10.11.1 Designating inventor for certain states only ...................................................................... 352
10.12 Processing the PCT/RO/101 application ......................................................................................... 353
10.12.1 Signing the form ................................................................................................................ 354
10.12.2 Sending the form ............................................................................................................... 357
10.12.3 Exporting and importing a form ......................................................................................... 358
11 PCT-SFD
11.1
11.2
11.3
11.4
11.5
11.6
12 PCT-DEMAND (PCT/IPEA/401)
12.1
12.2
12.3
12.4
12.5
12.6
360
PCT-SFD – Application.................................................................................................................... 362
11.1.1 Filing office and capacity in which it is acting .................................................................... 362
11.1.2 Past record........................................................................................................................ 363
PCT-SFD – Names .......................................................................................................................... 364
PCT-SFD – Documents ................................................................................................................... 364
11.3.1 Documents filed with the Receiving Office (RO) ............................................................... 365
11.3.2 Documents filed with the International Searching Authority (ISA) ..................................... 368
11.3.3 Documents filed with the International Preliminary Examining Authority (IPEA) ............... 369
11.3.4 Documents filed with the Supplementary International Searching Authority (SISA) .......... 372
11.3.5 Attaching PDF documents ................................................................................................ 373
11.3.6 Attaching sequence listings............................................................................................... 376
11.3.7 Viewing attached documents ............................................................................................ 378
PCT-SFD – Fee Payment ................................................................................................................ 379
11.4.1 Fee selection ..................................................................................................................... 379
11.4.2 Payment details ................................................................................................................ 381
PCT-SFD – Annotations .................................................................................................................. 383
Signing an application with Form PCT-SFD .................................................................................... 384
385
PCT-DEMAND – Demand ............................................................................................................... 387
PCT-DEMAND – Names ................................................................................................................. 388
12.2.1 Applicant ........................................................................................................................... 388
12.2.2 Agent................................................................................................................................. 390
12.2.3 Address for correspondence ............................................................................................. 391
PCT-DEMAND – Examination Basis ............................................................................................... 392
PCT-DEMAND – Documents ........................................................................................................... 394
12.4.1 Examination documents .................................................................................................... 394
12.4.2 Accompanying items ......................................................................................................... 396
12.4.3 Attaching sequence listings............................................................................................... 398
12.4.4 Pre-conversion archive ..................................................................................................... 400
12.4.5 Viewing attached documents ............................................................................................ 401
PCT-DEMAND – Fee Payment ....................................................................................................... 402
12.5.1 Fee selection ..................................................................................................................... 402
12.5.2 Payment details ................................................................................................................ 403
12.5.3 Viewing the fee sheet ........................................................................................................ 404
PCT-DEMAND – Annotations .......................................................................................................... 405
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13 Server Manager
Table of contents
406
13.1
13.2
13.3
Server Manager overview ................................................................................................................ 407
Services management ..................................................................................................................... 408
Database management (Backup) .................................................................................................... 411
13.3.1 Backing up database......................................................................................................... 412
13.3.2 Restoring database ........................................................................................................... 415
13.3.3 Creating a new empty database ....................................................................................... 416
13.4 Exporting items ................................................................................................................................ 417
13.5 Importing items ................................................................................................................................ 419
13.6 User sessions .................................................................................................................................. 420
13.7 Unlocking forms ............................................................................................................................... 421
13.8 History ............................................................................................................................................. 423
13.9 Settings............................................................................................................................................ 424
13.9.1 Settings for file locations ................................................................................................... 424
13.9.2 Default Network Settings................................................................................................... 425
13.10 Live Update ..................................................................................................................................... 426
13.10.1 Settings for Live Update .................................................................................................... 427
13.10.2 Downloading updates........................................................................................................ 430
13.10.3 Installing updates .............................................................................................................. 432
13.11 Data Migration ................................................................................................................................. 434
13.11.1 User Data Migration .......................................................................................................... 434
13.11.2 Database Migration ........................................................................................................... 436
14 Glossary
438
15 Index
440
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EPO Online Filing 5.08 – User Guide
1
1 Legal notices
Legal notices
Copyright
© European Patent Office (EPO), 2014. All rights reserved.
Accurate reproduction of EPO-created information contained in this documentation is authorised, provided the
source is acknowledged and unless otherwise stated (e.g. that use is restricted or subject to prior permission).
Further use of third-party works requires permission from the copyright holder, unless this is waived under the
law applicable.
Trade marks and logo
The EPO's official logo is likewise protected worldwide as an emblem of an international organisation under the
Paris Convention for the Protection of Industrial Property.
Disclaimer
EPO Online-Services and the associated data from EPO databases are regularly maintained and updated. Great
care has likewise been taken in writing the instructions for using the services provided, to ensure that the
information supplied is correct. Furthermore, the EPO makes every effort to prevent technical malfunctions.
Given the amount of data and information provided, however, it is not possible to rule out all errors and
omissions.
The EPO therefore accepts no liability for the completeness and accuracy of the data and information made
available in connection with these services, and it does not guarantee that the underlying files and the formats
used are error-free and will not cause the user's systems to malfunction. Nor can the EPO guarantee that the
information presented in this documentation about the functionality and use of these services is fully up to date,
complete, and without any errors or mistakes.
Other access conditions
The EPO reserves the right to modify, extend or discontinue the available services, in full or in part, without prior
notice.
Using the Online Filing software (OLF)
The EPO grants users the right to use the Online Filing software free of charge for an unlimited period. The
software is exclusively intended for online filing with the EPO, i.e. for European patent applications and other
documents.
Please refer to the EPO's website and go to Applying for a patent > Online services > Online filing >
Download documentation
(http://www.epo.org/applying/online-services/online-filing/documentation.html) to download the most
recent version of the Conditions for the loan and use of the Online Filing software
(http://docs.epoline.org/onlinefilingdocs/olf-license-en.pdf).
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EPO Online Filing 5.08 – User Guide
2
2 Introduction
Introduction
Intended audience
This guide is intended for users of the Online Filing software and EPO Online Services. To use EPO Online
Services, you need a username and a smart card registered and supplied free of charge by the EPO. You can
enrol for a smart card using the enrolment form provided on the EPO website
(http://www.epo.org/online-services).
What this guide contains
This guide details the features of the Online Filing Software and describes the processes for submitting patent
applications or subsequently filed documents electronically. Online Filing supports applications via the EP and
PCT routes as well as the use of additional national filing routes with the EPO as interface.
Additional information
The information presented in this document may change over time as online services develop. The latest
documents and software updates are available for download from the EPO website
(http://www.epo.org/online-services).
Registered users have access to the Online Services forum (http://forums.epo.org/onlineservices/), where
they can discuss all technical issues relating to Online Filing.
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EPO Online Filing 5.08 – User Guide
2.1
2 Introduction
Help and Support
The EPO operates a helpdesk for Online Filing users.
Send us your question using our contact form on the EPO website at www.epo.org/contact-form.
Our experts will get back to you as soon as possible.
You can also reach us by phone or e-mail:
Open:
Monday to Friday, 08:00 to 18:00 (CET)
Tel.:
+31 (0)70 340-4500
Fax:
+31 (0)70 340-4600
e-mail:
[email protected]
Internet:
Online filing on the EPO website:
www.epo.org/online-filing
Contact us online on the EPO website:
www.epo.org/contact
Important note for customers using Online Filing version 5 Service Pack 3 (Build 5.0.0.053) or earlier:
 As of 1 September 2012, the EPO has withdrawn customer support for Online Filing versions Service Pack 3
(and earlier).
 As of 1 March 2013, the EPO has ceased to accept applications filed with Online Filing versions Service
Pack 3 (and earlier). However, PCT applications to the EPO as receiving office are still accepted by the
office's receiving server.
2.2
Typographical conventions
The following text styles identify special information.
Style
Usage
Object
Interactive objects in the application such as windows, options, menu items, icons,
buttons and data entry fields.
Text Entry
Text that you type in data entry fields.
KEY
Keys that you press on your computer keyboard, e.g. P, ALT or CTRL.
KEY1+KEY2
Keys that you press at the same time: hold down KEY1 and press KEY2.
Filename.ext
Name and extension of files used in Online Filing.
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EPO Online Filing 5.08 – User Guide
3
3 Overview of Online Filing
Overview of Online Filing
Online Filing version 5.08 lets you file EP, Euro-PCT and PCT applications with the EPO and make submissions
within the opposition, appeal, limitation and revocation procedures. It also lets you submit subsequently filed
documents for all EP procedures. EPO Online Filing can furthermore be used to submit applications and
documents to participating national offices.
The EPO recommends that all applicants use the Online Filing software for their filings to the EPO. This method
guarantees the quality of the data and documents transmitted. As soon as the EPO receives the electronic
application, you are sent a receipt with the application number and the date of filing. What is more, the EPO
grants Online Filing users a reduction on certain fees.
If you file an application online with the EPO, you should use the same procedure, where possible, for
subsequent communications and document submission. In particular, you should not send a confirmation fax or
letter to the EPO by post.
Running Online Filing
The Online Filing software opens with the File Manager. Log on by entering the user name and password
you were assigned by the Online Filing Administrator. User names are associated with roles that allow you to
perform certain tasks on the system. Online Filing only allows you to use the options appropriate to the role
assigned to your user name - e.g. only certain roles may add or remove signatures.
Online Filing modes
Online Filing operates in two different work environments: production mode or demo mode. The appropriate
mode is selected when starting File Manager.
Figure 1: Online Filing login window
Production mode is for real filings. The default is production mode. You can also set this startup mode in User
Preferences (p. 56).
Demo mode is provided to allow users to practice the processes of completing, signing and sending
applications, without submitting a real filing. Demo mode transmissions go to a different EPO server address
from production transmissions and submissions are only confirmed by a demo receipt.
 All settings, forms, applications and Address Book entries, as well as users, groups and user profiles are
specific to the current mode, i.e. demo mode or production mode, to ensure that any work in one is kept entirely
separate from the other.
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EPO Online Filing 5.08 – User Guide
3 Overview of Online Filing
File Manager
The File Manager is the central administration interface for using the Online Filing suite. This is where you
organise your applications and track their processing status.
 Create folders for applications and templates
 Edit applications in the workflow process (Draft - Sign - Send)
 Check the legal and formal requirements of applications
 Export applications
 Save names and contact details in the Address Book
 Customise File Manager to suit individual user preferences
 Create user names and manage user privileges
 Set up your own password policy
 Manage general system settings.
Electronic Forms
At the EPO, electronic online filing is available for the following procedures – also referred to as forms – which
can be found in the Forms folder in File Manager:
 EP(1001E2K) – Request for grant of a European Patent (EPC 2000)
Form EP(1001E2K) is the default form used for requesting the grant of a European patent and examination of
the application under Article 94 EPC. The application can be filed directly to the EPO or via one of the
participating national offices.
 EP(1038E) – Subsequently filed documents (in EP procedures)
All subsequently filed documents should be submitted using Form EP(1038E), except in the opposition
procedure, when they should be submitted with Form EP(Oppo) (p. 243).
Form EP(1038) can also be used to submit an appeal and/or documents filed subsequently in appeal
proceedings. If you file documents and fees related to an appeal, you cannot file other documents or fees, i.e.
non-appeal-related documents or fees – at the same time. Please note that appeal filings may only be signed
using a smart card issued to a person authorised in the appeal proceedings.
Non-public documents can also be filed with Form EP(1038E). Please note that you cannot file non-public
documents at the same time as any other documents, i.e. public documents. Nor can you file non-public
documents at the same time as you pay fees related to public documents.
You can also use Form EP(1038E) exclusively to pay a fee.
At present, Online Filing does not allow the filing of priority documents, with the exception of US certified
priority documents.
 Euro-PCT(1200E2K) – Entry into the European phase (EPC 2000)
Euro-PCT(1200E2K) is the form used for entry of an international application into the European phase before
the EPO as designated or elected office.
 EP(Oppo) – EP opposition
The EP(Oppo) form is used for filing an opposition and/or submitting subsequently filed documents in
opposition proceedings (not for appeal proceedings). It should be used by all parties involved in opposition
proceedings.
 PCT/RO/101 – PCT/RO/101 Request
You can use Form PCT/RO/101 to submit an international application filed under the PCT to the EPO. You
can define the EPO as both receiving office (RO) and international searching authority (ISA).
 PCT-SFD – PCT Subsequently filed documents
You can use Form PCT-SFD to file documents submitted after the filing of an international application under
the Patent Cooperation Treaty (PCT). You can also use it to select the fees for the subsequently filed
documents and the way you want to pay them.
 PCT-DEMAND – PCT Demand (PCT/IPEA/401)
Form PCT/IPEA/401 is used for filing demands for international preliminary examination according to Chapter
II of the Patent Cooperation Treaty (PCT).
The electronic forms are structured along the same lines as traditional paper forms to simplify data entry. You
can open and work in several forms at the same time. You can create new applications and produce your own
templates by copying your drafts and applications already filed.
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EPO Online Filing 5.08 – User Guide
3 Overview of Online Filing
Server Manager
The Server Manager tool allows the Online Filing administrator to manage services, servers and databases.
 Monitor, start and stop services
 Activate and deactivate services for national procedures
 Backup and restore databases
 Export and import data
 Manage user connections to the server
 Monitor and log the progress of all actions
 Configure and run Live Update for software updates
 Select countries for the update of national procedures via Live Update
 Migrate either the user configuration or the Online Filing database.
3.1
Network-based online filing
Online Filing is a client-server application and can be configured as either a stand-alone installation or a network
installation.
In a stand-alone installation, the client and server both run on the same computer. There is usually only one
user here who is also the administrator.
For network installation, the Online Filing server in installed with the database on a specific computer in the
applicant's company or a patent attorney firm. This server centrally administers all applications, data and users.
The individual users have an Online Filing client installed on their PC workstations. Data is accessed via the
company network or via a private Internet connection (VPN tunnel), allowing persons working at discrete
locations all over the world to co-operate on joint applications.
User authorisation and authentication
The data and software functions released for users in Online Filing are specified individually by the administrator.
An application that is being processed by a user is locked for all other users, but is available in read-only format.
All users can see who edited and saved the application last, ensuring that workflows remain transparent and fully
documented.
Smart cards (p. 99) are used for signing applications as well as for authentication when making transmissions to
the EPO. All users who have signing and sending privileges need their personal smart card with PIN and a smart
card reader in their offices.
Network settings when installing Online Filing
The exchange of data between the client and the server is managed by the computer network. How the data is
exchanged is defined by the network protocol. The Online Filing server works with two different protocols CORBA and SOAP - and reserves individual ports for each service.
CORBA is recommended, since SOAP considerably slows down the rendering of the graphical user interface.
Also, SOAP does not work with procedure PCT/RO/101. However, SOAP is useful when the server is accessed
via a WAN through a firewall.
During the Online Filing client setup, you are prompted to specify the settings for the connection to the server.
CORBA is set by default.
 Enter the correct IP address of the server or its computer name in your network (available from your system
administrator).
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Figure 2: Setting the server address when installing the client
 The localhost address should only be used if the client and server are running on the same logical PC.
When configuring the Online Filing server, you have the option of entering a specific port for each individual
procedure. You can leave the default ports, provided that they are not already otherwise assigned in your
network. Ask your network specialist or system administrator for more information.
Figure 3: Settings for CORBA and SOAP ports during installation
For more information on installing Online Filing, refer to the installation manual, which is available from the EPO
website at Online services > Online filing > Download documentation
(http://www.epo.org/applying/online-services/online-filing/documentation.html).
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National procedures in Online Filing
All national procedures compatible with Online Filing are integrated by default in the software as standalone
plug-ins and are systematically installed. Individual plug-ins can be activated and deactivated subsequently as
required under Services management (p. 408) in the Server Manager tool.
You can select the options Typical and Custom when setting up Online Filing as a server installation or
stand-alone installation.
 Typical
Installs the default services: File Manager, Server Manager, EP(1001E), Euro-PCT(1200E), EP(1038E),
EP(OPPO) and PCT/RO/101.
Installs all national plug-ins without activating them.
 Custom
Installs the default services and all national plug-ins.
Also activates selected national plug-ins.
For more information on installing Online Filing, refer to the installation manual, which is available from the EPO
website at Online services > Online filing > Download documentation
(http://www.epo.org/applying/online-services/online-filing/documentation.html).
For an overview of all national procedures, see the EPO website at Online services > Online filing > Online
Filing in national offices (http://www.epo.org/applying/online-services/online-filing/national.html).
3.3
Updating the Online Filing software
The EPO is constantly developing and upgrading the Online Filing system and software in response to customer
requirements to improve performance, data quality and workflow.
All software updates are made available via the Live Update service, and installation files are published on the
EPO website for manual download.
Live Update
The EPO recommends that all software users configure the Live Update function. This ensures that you are
always using the latest version of Online Filing, incorporating the most recent procedural and fee changes, for
your submissions.
Live Update also lets you download and install updates for specific national procedures.
For details on how to use and configure this tool, see Live Update (p. 426) in the Server Manager section of this
manual.
Manual Update
A chronological list of all downloadable updates for version 5.0 can be found on the EPO website at Online
services > Online filing > Download software for filing with the EPO
(http://www.epo.org/applying/online-services/online-filing/download.html).
Release notes
The new features and changes implemented by the current and previous Online Filing software updates are
listed at Online services > Online filing > Download software for filing with the EPO > Version 5.
(http://www.epo.org/applying/online-services/online-filing/download/version-5.html)
RSS feed
If you would like to keep abreast of all new versions, updates, patches and maintenance data, you can subscribe
to the EPO Online Services RSS feed. The RSS feed will then notify you as soon as new software modules are
available for download.
For the link to the RSS feed visit the Online services page (http://www.epo.org/online-services) or go to
http://www.epo.org/rss/online-services.xml.
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Help on using Online Filing
Apart from reading this guide, there are other things you can do to get help on using the Online Filing software.
Contacting EPO User Support
 Select Help > Info from the menu.
The About File Manager window provides contact details for EPO User Support as well as information on the
type of installation and the build numbers for the modules currently installed. It is important to have this data to
hand when talking to Customer Services.
Contact details for the national patent offices can also be found in the upper part of the window.
 To see more addresses, scroll down this pane.
The lower part of the window contains information on all the national procedures installed.
 To see all the plug-ins, scroll down this pane.
Figure 4: Helpful information on Online Filing
Creating a diagnostic file
When you contact EPO User Support, it is always useful to have detailed information on your OLF system setup
at hand. The helpdesk can then get a clear picture of how your Online Filing software is configured and this can
enable the support staff to help you efficiently with advice and troubleshooting.
You can export all the relevant information, i.e. version number, installed plug-in versions, installed patches,
original installation settings and server configuration, into a diagnostic file and mail this to EPO User Support.
 Start the Online Filing Server Manager.
 Select Help > Create diagnostic file.
 Note the warning message in the next dialogue window.
 Click Create.
Online Filing Server Manager exports all relevant data into the EPOolfDiagnostic.txt file. You are prompted
to select the storage location for the diagnostic file on your hard disk.
 Open the EPOolfDiagnostic.txt file in Windows Notepad to inspect the contents including the warning
message.
 If required, you can now modify the file's contents before sending it to EPO User Support.
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Figure 5: Contents of the diagnostic file in Windows Notepad
Online Help
Online Filing's integrated online help files contain all information from this user guide for reference. An index is
provided to help you search for keywords.
 Click the Help button in the toolbar on the right.
-ORSelect Help > Online Filing Help.
The Online Filing Help opens in a new window in the default browser specified in the relevant Windows system
settings, e.g. Microsoft Internet Explorer.
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File Manager
Online Filing opens with the File Manager window. The Forms folder is always displayed when you start the
application, enabling you to select a procedure immediately to create a new application.
 Click All Applications, to see the Application List and the screen elements described below.
Figure 6: File Manager - Overview
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Element
Comments
Menu Bar
Contains all commands that you need to create, edit and save applications,
options for configuring the program properties of Online Filing as well as other
tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Contains specific information on the application currently selected: folder,
status, procedure, user reference.
Status Selection Bar
Displays the applications in a selected folder filtered by their current status:
Draft, Ready to sign, Ready to send or Sent.
Search
Searches the list of applications (or templates) for a specific search term. To
find a term, select the column you want to search in the drop-down list and
enter the search term in the field to the right.
The first application (or template) in the list that matches your search terms is
. Click Search again
highlighted in grey after you click the Search button
to jump to the next application that matches your search criteria.
Folders and Templates
Contains the system folders All Applications, Default Folder, Forms,
Templates and Trash. You can create additional folders and sub-folders as
required for your applications and templates.
Info Pane
Displays general information on the application (or template) currently
highlighted in the list.
Click the View... button to preview the application. The application then
appears in the PDF Viewer with a list of all attached files that can also be
displayed in PDF view.
Application List
Shows the content of the folder that you selected on the left, that is, all
applications, templates or forms that are in this folder.
Status Bar
Shows information on the last action executed in the program.
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Customising File Manager
You can customise File Manager to only display the elements you wish to see.
 Click the options checked in the View menu one by one, e.g. Status Bar and Location Indicator.
The check marks are removed and the Status Bar and Location Indicator elements will be hidden.
 Click an option in the View menu again to set the check mark and display the element once more in File
Manager.
Figure 7: Customising File Manager: Location Indicator and Status Bar are hidden
Exiting File Manager
Use the File menu to close File Manager and exit Online Filing.
 Select Exit to close the program.
 Select Log off if you want to operate the program under a different user name.
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Toolbars
The Online Filing toolbars provide buttons for the most common tasks you need to complete as you prepare,
sign and send your application.
 All of these functions can also be activated via options on the File Manager menu bar. Another alternative is
the shortcut menu, which you open by right-clicking an object. The shortcut menu always contains a list of
frequently used options to make working with Online Filing as user-friendly as possible.
File Manager toolbar
Button
Function
Comments
New draft
Creates a new application based on a standard procedure or template.
Delete
Moves the selected item to the Trash folder.
Previous
Moves the application back a step in the workflow process.
Next
Moves the application forward a step in the workflow process.
Validation
Displays validation messages for the selected application.
Internal Notes
Creates application notes not intended for transmission to the EPO. Notes
for the EPO are inserted in the Annotations tab on a form.
Address Book
Opens the Online Filing Address Book to edit contact details for legal and
natural persons.
System preferences
Opens the System Preferences (p. 60) window.
Help
Opens the Online Help for the File Manager.
Forms toolbar
When you edit an application in Online Filing, the software opens a form in a separate window, e.g. Form
EP(1001E2K). The form view window also features buttons for the most common tasks.
Button
Function
Comments
Save
Stores a copy of your work so far.
Next
Moves the application forward a step in the workflow process.
Validation
Shows validation messages for the tab currently open.
Internal Notes
Creates notes not intended for transmission to the EPO.
Preview
Shows a preview of the application in the PDF Viewer.
Add
Adds a new item, e.g. adding details for a new applicant or attaching a new
file.
Delete
Removes the selected item from the form.
Help
Opens the Online Help for the EP forms.
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Folders
The File Manager in Online Filing features a series of special system folders to help with organising your work.
You cannot rename or delete these.
Icon
System Folder
Comments
All Applications
Contains a list of all applications (apart from objects in the Trash folder).
Default Folder
All new drafts are filed here unless you specify a different location when
saving.
Forms
Contains the official forms prescribed for the various procedures that are
available for applications. The list of procedures available depends on the
settings chosen during installation.
Templates
Contains modified forms with user-specific information.
Trash
Contains deleted applications (or templates). Once the Trash folder has
been emptied, none of the objects deleted in Online Filing can be
retrieved.
You can create your own folders and sub-folders in File Manager. These folders could be named by type of
application, company name or any other criteria that suit you. Folders are ordered alphabetically under the
Default Folder. You can rename and delete folders you create.
Folders containing sub-folders are marked by a little black triangle on the left.
 To open a folder and view its sub-folders, double-click the folder.
Figure 8: Folders with sub-folders in File Manager
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Creating a folder
 In File Manager, select New Folder from the File menu.
-OR Right-click in the folder area and select New Folder from the shortcut menu.
 Type a name for the folder and press ENTER.
Figure 9: New folder created
Creating a sub-folder
 Right-click the folder to which you want to add a sub-folder.
 Select New SubFolder from the shortcut menu.
 Type a name for the sub-folder and press ENTER.
Renaming a folder
 Right-click the folder you want to rename.
-ORPress the F2-key.
 Select Rename Folder from the shortcut menu.
 Enter the new name and press ENTER.
Figure 10: Folder renamed
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Deleting a folder
 Right-click the folder you want to delete.
 Select Delete Folder from the shortcut menu.
The folder is deleted immediately.
 You can only delete folders which do not contain any applications or templates.
Sorting a folder
 In File Manager, select the folder you wish to sort.
 Select the name of the column you want to sort the list by in the View > Sorting menu.
Figure 11: Sorting applications by an option in the "View" menu
-OR Click a column heading in the list of applications.
 Click the column heading again to change the sorting order from ascending (A-Z or 0-9) to descending
(Z-A or 9-0).
Figure 12: Sorting applications by clicking the column heading
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Applications
The list of applications indicates the most important properties of all applications in the folder currently selected:
 Last saved - Date of the last change
 Reference
 Title

Number of validation messages by validation level (see "Validation" p. 40)
 Type of procedure/form used

Number of attachments
 Status in the workflow process
Figure 13: List of applications in File Manager
You can customise the list of applications and filter it by various criteria.
 Select Status in the View menu and then choose the status you want, e.g. Ready to send.
-ORClick the appropriate button in the Status Selection Bar.
 Use View > Columns to select the columns you want to display in the list of applications.
 Double-click the dividing line between two column headers to resize the columns so that they fit their content.
4.3.1
Creating a new application
You can create a new application in File Manager using a form from the Forms folder or a customised form from
the Templates folder.
 In File Manager select New Draft from the File menu.
-ORClick the New Draft button in the toolbar.
-ORDouble-click a form or template.
-ORPress STRG+N on your keyboard.
The Create a New Application window opens.
 Enter the User Reference for the new application.
 Select the type of procedure you want to choose in the Group list, e.g. EP.
This is not mandatory but it reduces the number of forms displayed in the Procedure list, making selection
easier for you if the number of procedures installed is very high.
 Select the option you want in the Procedure list.
The procedure on which an application is based cannot be changed afterwards.
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


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Data automatically appears in the Description field and cannot be edited.
If you want to use one of your templates as a basis for the new application, select it in the Based on
Template list.
Select the language you want in the Language of proceedings list.
The application form will be created in this language. However, this setting has no effect on the language of
the Online Filing graphical user interface.
Select the folder where you want to save the new application.
Click Create.
A warning appears if the user reference you entered has already been assigned to an application.
- Confirm this message with Yes if you are sure you want to use the same user reference for the new
application.
- Click No to change the user reference in the Create a New Application window.
- If you create a new PCT/RO/101 application, only unique user references are allowed; see Creating a
new PCT/RO/101 application (p. 281) in the section on PCT/RO/101 or in the online help for form
PCT/RO/101.
 The option Customer number is only available for the UK procedures UK-IPO(F1), UK-IPO(NP1) and
UK-IPO(SFD).
Example
This new EP(1001E2K) draft is not based on a template. English is selected as the language of proceedings and
the application is stored in one of the personal folders.
Figure 14: Create a new draft based on Form EP(1001E2K)
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Saving applications
A new application is only transferred to the database after the draft has been saved for the first time. Changes
made in the subsequent workflow process can be saved at any time. Saving changes ensures that the data
displayed in File Manager is also updated.
 Select Save from the File menu in the form view.
-ORClick the Save button in the toolbar.
You can use the Save As option in the File menu to create a new object from an open application:
 Select Save copy as Draft and enter a reference to save as a new copy.
The original remains as it was when last saved. All subsequent changes apply to the new document.
 Select Save as Template to save as a customised form (see "Templates" p. 31) on which to base new
drafts.
 The saving options in form PCT/RO/101 are slightly different; see Saving the form (p. 283) in the section on
PCT/RO/101 or in the online help for form PCT/RO/101.
4.3.3
Renaming applications
You can only rename applications while they are still in Draft status.
 Open File Manager and locate the application you wish to modify in your folders.
 Right-click the application in the list and select Rename user reference from the popup menu.
Figure 15: Rename user reference for application
 Enter the new user reference in the Rename user reference window.
 Click Rename to save your changes.
The user reference in the database will be updated. It can take a few moments for the change to appear in
File Manager.
 Applications based on form PCT/RO/101 cannot be renamed.
4.3.4
Moving applications
 In File Manager, select the application (or template) you want to move.
 Right-click the application.
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 Select Move to folder in the shortcut menu.
 Select the destination folder for the application in the Move to folder window.
 You can display sub-folders by double-clicking the parent folder.
 Click OK.
The application is now in the selected folder.
Figure 16: Selecting the folder where you want to move an application
4.3.5
Deleting applications
There are a number of ways to delete applications. At every stage of the deletion process, Online Filing asks if
you are absolutely sure you want to delete an application. This is not a setting that can be deactivated in the user
preferences.
Deleted applications are first moved to the Trash folder where they remain until you empty the trash.
 In the File Manager select the application(s) or template(s) you wish to delete.
 You can select multiple objects one after the other by clicking them with the CTRL key held down.
 Select Delete application in the Edit menu.
-ORIn the Toolbar click the Delete button.
-ORRight-click the application(s) and select Delete in the shortcut menu.
-ORPress DELETE on your keyboard.
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Retrieving deleted items
 Click the Trash folder.
 Select the application you want to restore.
 Right-click the application and select Move to folder in the shortcut menu.
 Select the required folder in the Move to folder window and click OK.
Removing objects from the Trash folder
You can clear all objects or individual objects in the Trash folder.
 Right-click the Trash folder and select Empty Trash Folder in the shortcut menu.
-ORSelect the objects you want to remove and delete them as described above.
 The procedure described for applications applies equally to templates.
4.3.6
Previewing applications
Just like in any word processing application, you can open a preview of an application in Online Filing to display
the application form as it appears in print. In Online Filing, the preview of the application is displayed as a PDF
file in the PDF Viewer window, which runs the Adobe Acrobat Reader application installed on your PC. This
window also displays all attached files as well as the system files generated by Online Filing.
 Click an application in File Manager.
The Info Pane provides more information on a selected application, including information that is not yet
visible in the list of applications:
- ID is the internal number of the application in the database.
- Title is the title of the invention (for applications using the EP(1001E2K) form only, otherwise blank).
- Last saved indicates the user's name and the date.
- Applicant indicates the name(s) of the applicant.
- Internal Notes provides a short summary of remarks by the persons handling the application.
 Click the View... button in the Info Pane.
-ORSelect View > List of attached documents.
Figure 17: Info Pane with application information
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The PDF Viewer opens with a preview of the required application in PDF format (ep-request.pdf).
A list of all files associated with this application is displayed on the left.
 In this example, the technical documents are contained in one attachment (SPECEPO-1.pdf).
 The XML files listed are the system files required for transmission to the EPO. The f1002-1.pdf file is the
designation of inventor generated internally by Online Filing.
 The list of files displayed by the PDF Viewer includes the acknowledgment of receipt (receipt.pdf) once
an application has been successfully transmitted to the EPO.
 The user reference appears on the bottom left of each page in the PDF document created by Online Filing.
The PDF Viewer provides a toolbar and other items for handling the PDF document.
 To print the form, click the Print button in the PDF Viewer's toolbar.
 To create a copy of the PDF file, use the Save button.
 To resize the width of the left navigation pane, click the grip at the centre of the divider (symbolised by three
dots) and drag it to the required position.
Figure 18: Application displayed in the PDF viewer
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Templates
Templates are user-defined forms, containing data that you need every time you prepare certain applications,
such as information relating to a particular applicant or to fee payments.
4.4.1
Creating a new template
You can create a template from a draft application, start with a blank form or use an existing template.
 Specific instructions on how to create a template for PCT/RO/101 applications can be found in Working with
templates (p. 284) in the section on PCT/RO/101 or in the online help for form PCT/RO/101.
Creating a template with a blank form
 Select New Template from the File menu in File Manager.
-ORPress SHIFT+CTRL+N.
 In the Create a New Template window, enter the Template Name.
 Select the required procedure and the language of proceedings.
 To store the new template in one of your template folders, double-click the Templates folder and select the
appropriate sub-folder in the Save to folder field.
 If you wish, enter a description to help identify the template.
This is displayed in the Title column in File Manager.
 Click Create.
Figure 19: Creating a new template
The new template opens in the form view where it can be edited.
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Creating a template from an existing application (draft)
The application is in Draft status.
 Double-click the application to open it.
 Select Save As > Save as Template from the File menu in the form view.
 Enter the template name in the Save As Template window.
 Select a folder if you want to save the template in a sub-folder of the Templates folder.
 Double-click the Templates folder to display all sub-folders.
 Enter a description.
 Click Save.
Figure 20: Saving an application as a template
The new template remains open in the form view.
Converting an application (draft) into a template
Only an application in Draft status can be converted into a template. This removes the application from its
original location and creates a new template in the selected template folder.
 Right-click the application you want to convert into a template in File Manager.
 Select Convert to template in the shortcut menu.
 Select a folder in the Convert to template window.
 Enter a description.
 You cannot change the template name here.
 Click Save.
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Figure 21: Converting an application into a template
The template then appears in the selected template folder in File Manager.
Figure 22: Templates folder with sub-folders and new template
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Creating a template from an application already processed (Sent, Ready to send, Ready to sign)
Only applications still in Draft status can be directly converted into templates. There is, however, also a way to
create a template from an application, for instance, that has already been sent.
 In File Manager, select the application you want to use as a template.
Its status can be Ready to sign, Ready to send or Sent.
 Right-click the application and select Copy application in the shortcut menu.
 Type a new user reference.
 Click Copy.
The copy now appears in Draft status in File Manager.
 Right-click this application and select Convert to template in the shortcut menu.
 To continue, proceed as described above.
Copying a template
 Click the Templates folder.




Select the template you want to copy.
Right-click the template and select Create a copy of template in the shortcut menu.
Enter a name for the new template in the Copy template window.
Click Copy.
Figure 23: Creating a new template by copying an existing template
In File Manager, the new template appears in the same folder as the copied template.
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Using a template
You can use your templates immediately to create a new application.
 In the Templates folder, double-click the template you require.
-ORClick the New Draft button in the toolbar.
The Create a New Application window opens.
 Where applicable, select the template you want in the Based on Template list.
 Enter the details for the new application.
 Click Create.
Figure 24: Create a new application based on a template
4.4.3
Modifying a template
You cannot change the underlying procedure in a template. Nor can you rename a template. Changes made to a
template are not transferred to existing applications based on this template.
Editing data in a template
 Click the Templates folder.
 Select the template you want to edit.
 Right-click the template in the list and select Edit template from the pop-up menu.
The template will open in the form view.
 Modify the data as required and save the template.
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Updating fee information in a template
When you create a template, the most recent fee schedule for the selected procedure is always entered in full in
the template. The Live Update routine updates the fee information in Online Filing - but not in existing templates whenever the EPO issues new fees.
A warning message appears if the template that you try to open to create a new application still contains
outdated fee information.
Figure 25: Warning when you open a template containing outdated fee information
 Click OK to cancel the operation.
Update the template before you resume working with it.
 Right-click the template in File Manager and select Edit template in the shortcut menu.
A warning message about updating fee information appears.
Figure 26: Warning about updating fee information in a template
 Click OK.
The template now opens with the new fees.
 Save the template.
Modifying the template description





Click the Templates folder.
Select the template you want to edit.
Right-click the template and select Properties in the shortcut menu.
Change the text in the Template description field in the Template properties window.
Click Save.
Figure 27: Changing template properties
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Workflow and status
In Online Filing, the workflow is the sequence of all tasks related to the filing of an application, that is, from the
creation of a draft to the successful transmission of an application to the EPO. The status of an application
indicates which tasks have already been performed for an application and which task can be performed next.
File Manager shows the current status of each application, that is, either Draft, Ready to sign, Ready to send
or Sent. You can filter the list of applications so that only applications in a specific status are displayed.
 Click a status button for a list of all the applications in the relevant status.
All
Shows all applications in the File Manager folder currently selected.
Draft
All applications that are still being processed. Applications in this status are missing
either mandatory information or documents required for the procedure.
Ready to sign
Mandatory information and documents have been included but signatures have not
been added.
Ready to send
Mandatory information and documents has been included and signatures have been
added.
Sent
The application was successfully transmitted to the EPO and the acknowledgment of
receipt was received from the EPO.
4.5.1
Changing the status of an application in File Manager
The workflow process in Online Filing helps you to fill out applications correctly and in full. The software checks
the documents and data contained in an application for compliance with the legal framework and the Validation
(p. 40) function informs you about which data is missing or has to be corrected. An application can only move
forward to the next status in the workflow if all necessary data was entered and is correct (where verifiable).
 You can only change the status of applications if your user name is assigned the corresponding privileges in
Online Filing.
You can change the status of applications either via the Next and Previous workflow buttons in the toolbar or
via the Workflow menu. The workflow buttons only ever change the status one step at a time to the next or
previous stage. In contrast, you can use the menu options to change the status several steps at a time, e.g. from
Ready to send directly back to Draft.
 Select the application you want in File Manager.
 Select one of the options available in the Workflow menu to move an application back or forward.
 Select Workflow > Change Status followed by the required option to move the application back to a
specific status.
-ORKeep clicking the relevant workflow button until the application reaches the status you want.
Next
Move the application forward a step in the workflow process. You can only move an
application to the next step if the current data is sufficient, e.g. only an application
signed with a digital signature can be moved to Ready to send status.
Previous
Move the application back a step in the workflow process, e.g. return it to Draft
status so that changes can be made.
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Example 1
In this example, the selected application is in Draft status and already contains all mandatory information.
Clicking the Next button moves the application to Ready to sign status and opens it in the PDF Viewer. Notice
that the Previous button is disabled because Draft is the first step in the workflow process.
The tool-tip on the Next button says "Ready to sign".
Figure 28: "Ready to sign" option available in the workflow
Example 2
In this example, the status of the selected application is Ready to sign. Clicking the Next button initiates the
signing process. Note that the Previous button is enabled. Clicking it would return the application to Draft
status.
In this example the tool-tip on the Next button says "Sign".
Figure 29: "Sign" option available in the workflow
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Changing the status of an application in the form
An application remains in Draft status until you actively change its status, e.g. move the application to Ready to
sign status.
 Open an application in Draft status.
 In the form toolbar, click the Next button.
 Form PCT/RO/101 provides different functions; see Processing the PCT/RO/101 application (p. 353) in the
section on PCT/RO/101 or in the online help for form PCT/RO/101.
Figure 30: Using workflow buttons in the form view to move an application to "Ready to sign" status
-OR Select Close from the File menu followed by Move to Ready to Sign and exit.
Figure 31: Moving an application to "Ready to sign" status when closing a form
When an application leaves Draft status, the next step in the workflow process automatically starts the next time
the application is opened.
For example, the signing process automatically starts if you open an application in Ready to sign status and the
sending process initiates if you open an application in Ready to send status.
Use the Previous workflow button in File Manager to move the application back to Draft status in order to make
changes in the form view.
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Validation
The Online Filing software incorporates validation mechanisms that check the logical consistency of data entered
in an application and compares it with the legal requirements of the EPC and the various filing offices. For the
latest version of the EPC, see the EPO website at Law & practice > Legal texts > European Patent
Convention (http://www.epo.org/law-practice/legal-texts/epc.html).
There are three severity levels for validation messages:
Icon
Severity
Validation state
1
The red icon for error means that mandatory information required by the EPC is missing or
the data provided is incorrect. You must supply or amend this information before you can
submit the application.
2
The yellow icon for warning means that some information is missing but may be supplied
subsequent to your filing.
3
The grey icon for message means that helpful hints concerning your filing are available.
In File Manager, the total number of validation messages about an application is shown both in the Application
List and the Info Pane.
There are no validation indications for the PCT/RO/101 requests shown in the overview screens as the validation
system operated by the PCT/RO/101 is not compatible with the data format used by the EPO Online Filing File
Manager. For more information on validation messages, please refer to PCT/RO/101 (p. 278) in the section on
PCT/RO/101 or in the online help for form PCT/RO/101.
Figure 32: Number of validation messages in the Info Pane and Application List
In the form view, the validation status is indicated by icons in the tabs corresponding to the form sections.
Figure 33: Validation icons in a form's tabs indicate missing data
The total number of validation messages per severity level is also displayed in the status bar of the currently
opened application.
Figure 34: Number of validation messages indicated in the form's status bar
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Note that the validation icons change dynamically as you enter new data.
 Click the Validation button in an application's form view to view the messages specific to the currently
displayed tab.
 Click the Validation button in the File Manager to see all the messages concerning the selected
application.
The validation messages are displayed in a separate window.
Figure 35: All validation messages for an application
You can leave the validation window open to keep track of your applications while working in File Manager.
 Select View > Validation > Docked to dock the validation window under the File Manager window.
 If you want the validation window to appear docked to the form window each time, select the
corresponding option for Startup (p. 56) in User Preferences.
 If you prefer, you can select Validation > Undocked.
This option leaves the floating window open and allows resizing of the window.
 To close the validation window, select Validation > Hide from the View menu.
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Internal Notes
Internal Notes can be used by the persons handling an application within a company to exchange information
without sending it to the EPO. You can only create and delete internal notes in the applications, not in File
Manager. Notes are displayed as read-only when opened from File Manager.
Information for the EPO is inserted in the form's Annotations tab, see EP(1001E2K) Annotations (p. 176).
 For instructions on annotations and notes in form PCT/RO/101, please refer to PCT/RO/101 Annotate
(p. 348) in the section on PCT/RO/101 or in the online help for form PCT/RO/101.
Creating Internal Notes
 In the procedural form, click the Internal Notes button in the toolbar.
Any notes already created for this form are listed.
 Click the New button.
 Enter the author's name, subject and note text.
Figure 36: Sample for internal notes, created in the form
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Viewing Internal Notes
 In File Manager, select the application of which you wish to view the notes.
 Click the Internal Notes button in the toolbar.
 In the list click a note to display it.
Figure 37: Example of an internal note in the docked Internal Notes window in File Manager
 Like the validation window, the Internal Notes window can be set to Docked, Undocked or Hide from the
View menu.
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Address Book
The Address Book is a facility for storing contact details (e.g. applicants, representatives, inventors).
Open File Manager first to activate the Address Book.
 Select Tools > Address Book from the File Manager menu.
-ORClick the Address Book button in the toolbar.
Figure 38: Opening Address Book in File Manager
Entries in the Address Book are grouped by legal and natural persons. Note that a legal person is represented
by the icon
and a natural person by the icon
.
Figure 39: Address Book with legal and natural persons
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Address Book functions and buttons
Option
Add
Comments
Click
Remove
Revert changes
Search
to create a new Address Book entry.
Click
to delete the Address Book entry currently selected.
Click
to cancel entries or changes.
Select the data field you want to search in the Find in drop-down list and then
enter the relevant search term in the search field. Click
Address Book entries.
to find matching
Enter details
Edit the personal details in the data fields. You must enter at least a first and
last name for a natural person or at least the company name for a legal
person.
Select route
Click this field to open a drop-down list of routes.
Select role
Click this field to open a drop-down list of features for the selected route.
Enter registration
number
Click the field to enter the registration number.
Exchange of data between Address Book and forms
When filling out forms, you can copy entries (see "Adding names from the Address Book to a form" p. 48)
from the Address Book for the persons listed in the Names tab. You can also copy the information on a person
you entered in a form to a new entry (see "Saving names from a form to the Address Book" p. 50) in the
Address Book.
 For instructions on exchanging address data with form PCT/RO/101, please refer to Adding names from the
Address Book to a form and vice versa (p. 307) in the section on PCT/RO/101 or in the online help for form
PCT/RO/101.
!
Note: Data loss can occur in Online Filing if information from an EP form is copied to the Address
Book and then transferred to a non-EP form, and vice versa. You should therefore check the
integrity of address data when transferring Address Book entries and add any missing information
manually.
Exchange of data between Address Book and external files
You can create Address Book entries either directly in Online Filing or import (see "Importing Address Book
names" p. 53) them from existing CSV files. You can also export (see "Exporting Address Book names" p. 52)
entries created in Online Filing to an external CSV file.
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Creating names in the Address Book
 In the Address Book select New Person or New Company from the File menu.
-ORClick the Add button, and then select Legal Person or Natural Person.
Figure 40: Creating a new person
 Enter the details in the fields on the right.
 Click the Save Changes button.
A warning appears if there is already an Address Book entry with the same name.
Figure 41: Warning: Record already exists in the Address Book
 The data in the First Name, Last Name and Registration No. fields is compared for natural persons. The
Address Book allows you to create two entries with the same first name and last name but different
registration numbers.
 You can save two entries with the same company name but different registration numbers for legal persons.
Editing names in the Address Book
 Select the name you wish to change.
 Edit the data.
 Click the Save Changes button to store the changes.
 To cancel the changes, click the Undo button.
Deleting names from the Address Book
 Select the entry you wish to remove.
 Click the Delete button.
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Routes and roles
The Route, Role and Registration No. fields are grouped as a table in the Role sub-tab, situated on the right
side of the Address Book below the personal data.
 A registration number is no longer required for filing with the EPO.
Adding a route and role to a name
 Select the name you wish to use in the Address Book.
 Click the New button (in the Role sub-tab).
The route EP and the role Applicant are added automatically.
 To select another route, click the field to open it for editing.
All routes supported by Online Filing are listed in the Route drop-down list, irrespective of whether they are
actually activated in your system.
 Select the role in the same manner.
- The roles for the EP route are Applicant and Representative.
- The roles for the PCT route are Applicant only and Agent.
Figure 42: Selecting a role for the EP route
 Click the grey field in the Registration No. column to activate it.
 Enter the registration number for the selected role.
 For more information on the format of registration numbers, contact the relevant national office.
Multiple registration numbers
If a person has registration numbers for different filing offices, you can create multiple lines with routes, roles and
registration numbers.
 To create a second line, click the New button once more.
 Select the Route and Role options.
 Enter the registration number.
Figure 43: Multiple roles and registration numbers entered
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Deleting a route and role
 Select the relevant line in the Address Book entry.
Click the Delete button (in the Role sub-tab).
4.8.3
Adding names from the Address Book to a form
You can insert the names saved in the Address Book into your applications.
 In the Names tab of Form EP(1001E2K) click the Add button.
 Select a role, e.g. Representative, Legal Practitioner.
Figure 44: Selecting Representative, Authorised
 Click the Copy from Address Book button.
The Address Book opens. The list of names is filtered and only shows natural persons because the
Representative, Legal Practitioner role is defined as a natural person.
 In the Address Book click the name to be selected.
 Click the Copy person to the form button to confirm.
Figure 45: Copy representative's data to the form
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The entry is added to the Names tab of the current form.
Figure 46: Data and registration number for representative entered automatically in form
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Saving names from a form to the Address Book
If you enter details on a person in a form's Names tab, you can save this information in the Address Book for
future use.
 In the Names tab, select the name you wish to save..
 Click the Copy to Address Book button.
A warning appears and the entry is not saved in the Address Book if the name already exists in the Address
Book.
Figure 47: Warning: Record already exists in Address Book
If the data has been successfully copied to the Address Book, a message to this effect is displayed in the status
bar.
Figure 48: Applicant's data successfully copied from the form to the Address Book
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Multiple entries for a legal person
You can specify a separate address for correspondence with one of the applicants, e.g. see Applicants (p. 131)
in the EP(1001E2K) section.
 Add an address for correspondence and enter the required information.
 Click the Copy to Address Book button.
This creates an additional Address Book entry for a legal person with the same company name, but with different
address data.
Figure 49: Additional address for correspondence copied to the Address Book
Data required for Address Book entries
An entry for a natural person must contain the first and last name while an entry for a legal person must contain
the name of the company.
An appropriate message appears in the status bar if the entry in the form does not satisfy these conditions and
the entry is not saved to the Address Book.
Figure 50: Incomplete entry is not copied to the Address Book from the form
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Exporting Address Book names
This option allows you to save names from the Online Filing Address Book to an external location on your
computer.
 In the Address Book, select File > Export from the menu.
Figure 51: Exporting data from the Address Book
 Select a location and enter a file name, and then click Save.
The entire Address Book is exported and saved as a file in CSV format.
CSV files (CSV = Character Separated Values) contain data in text-only format that can be read by many
different programs. These files display data records as single lines in which the individual data fields are
separated by delimiters. A delimiter is a marker, such as a comma, a semicolon or a tab character.
Example
The figure below shows a CSV file exported from the Address Book and opened in Microsoft Notepad. In this
case, the delimiters are semicolons. The first line is the header containing the field names. These are only in
English and are for internal use in Online Filing. The second line contains information on the first person in the
Address Book.
Figure 52: Sample CSV file opened in Notepad
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This is how the same CSV file appears in Microsoft Excel. The data records are arranged in rows here and the
data fields in columns. The first line again contains the field names as column headings. Persons are sorted by
the date when the entry was created in the Address Book.
Figure 53: Sample CSV file in Microsoft Excel spreadsheet
 The application associated with CSV file formats depends on your computer setup. A Windows system opens
CSV files by default with Microsoft Excel, provided this software is installed on the PC.
4.8.6
Importing Address Book names
This option allows you to import names from an external CSV file into the Online Filing Address Book.
Preparing the CSV file with multiple roles
When importing addresses from an external CSV file, all data on the route, role and registration number is
contained in the Role field. All of the data must be within the one field but divided by vertical bars (|). The
different terms for representative and applicant in the various routes must be entered in English so that they can
be imported by Online Filing.
Figure 54: Different sets of data for EP and PCT routes
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Importing the CSV file
 In File Manager select Tools > Address Book from the menu.
-ORClick the Address Book button in the toolbar.
 In the Address Book, select File > Import from the menu.
Figure 55: Importing data into Address Book
 Select the CSV file you want to import on your PC.
 Click Open.
 The CSV file must not be open in another program at the same time.
Figure 56: Selecting CSV file for import into Address Book
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Mapping field names
Online Filing compares the names of the fields in the CSV file with the names of the fields in the address book.
The fields' names are automatically assigned to each other if they match up exactly. If the name in the CSV File
Field column differs from the name in the Address Book Field column, None is displayed in the list. In this
case, you have to map the names manually.
 Open a drop-down list of available field names by double-clicking the entry you want to change in the CSV
File Field column.
 Select the matching field in your CSV file. If there is no matching field, set the option to None to leave the
Address Book field blank.
Figure 57: Import Address Book - matching field names
Handling duplicate entries
The import process is now started. If the software finds a duplicate name in the Address Book a prompt appears.
Figure 58: Address Book prompt for duplicate entries
 Click Overwrite to replace the existing name with the imported data. If the software finds a further duplicate
name, you will be asked again how you wish to proceed.
 Selecting Overwrite all will replace all existing duplicate names at once.
 Click Skip if you do not wish to import a particular duplicate name. You will be prompted again if the software
finds a further duplicate name.
 Click Skip all if you do not wish to import any of the duplicate names.
 Click Add as new record to import the duplicate name as a new entry in the Address Book.
 If no person type (either natural or legal) is indicated for a record, a legal person type is assumed by default.
If both first name and last name are indicated, a natural person type is assumed.
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User Preferences
Online Filing enables all users to individually set their preferred settings for working with the software. These user
preferences can be set independently both in production mode and demo mode.
 Select Preferences > User Preferences from the Tools menu in File Manager.
 Changes only take effect the next time you start File Manager.
 Click OK to apply your changed settings and restart File Manager.
 Click Reset All Settings to restore the previous user preferences.
Figure 59: User preferences in File Manager, default options
4.9.1
Startup
 Select your preferred mode for startup: Production or Demo.
The working mode is selected in the login window; see Overview of Online Filing (p. 11).
 If you want the validation messages to appear each time you open an application, select the check box Dock
validation in forms at startup.
The Validation Messages window can be docked below the form; see Validation (p. 40).
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Language
The File Manager user interface can be used in English, German, French, Dutch, Spanish, Romanian, Slovak,
Polish or Swedish.
 Select the startup language you wish to work in.
By default, a form's user interface is displayed in the selected language of proceedings; see Creating a new
application (p. 25).
 If you want to work in the same language in the form as in the File Manager, select the check box Open
forms in the language of the File Manager.
 This option does not apply for PCT/RO/101 forms. The PCT/RO/101 form's interface will always be in the
language which was set in File Manager when creating the new application.
The language of proceedings, however, can only be English, French or German. Therefore, the default language
of proceedings in a new application will be English if you set Dutch, Spanish, Romanian, Slovak, Polish or
Swedish as the language for File Manager.
4.9.3
Signing preferences
The signing preferences show the options allowed by the Online Filing system settings; see Signing settings
(p. 66). If an option is greyed out, this means that your Online Filing administrator has disabled it in the System
preferences.
 Select the type of signature you usually use:
- Smart card (default)
- Soft certificate (only available in demo mode)
- Alphabetical
- Facsimile
When signing an application, you can still select a different type of signature if required.
!
Note: At present, the EPO does not accept soft certificates as an electronic signature for filings to
the EPO server.
The soft certificate signing option can be used for online filing, however, if the office concerned accepts this
certificate. Please see the website of the office concerned for details.
4.9.4
Confirmations
Online Filing prompts you with warning windows following certain actions. You can avoid some extra clicks by
de-activating these confirmation dialogues.
Figure 60: Default settings for confirmations
 If you do not wish to receive notifications about deletions of files, clear the check box for Confirm upon
deletion of entries in applications.
-OR-
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When a prompt appears in the procedural form you can choose not to display it in future.
Figure 61: Prompt to confirm deletion of file
 If you do not wish to receive notifications about renaming of files, clear the check box for Show information
about renaming of attached files.
-ORWhen a prompt appears in the procedural form you can choose not to display it in future.
Figure 62: Information on renaming file
 Select the check box Start signing immediately when moving application forward from draft
status if you want an application in Draft status to move directly to Ready to sign status by clicking the
Next workflow button in File Manager.
 If you want to use an existing user reference for a new application and not receive a warning, clear the check
box Warn when creating an application with an already existing user reference.
-ORIf this warning appears when creating a new application, you can decide whether or not it should appear in
future.
Figure 63: Message when creating a new application indicating that a form already exists with the user reference you want to
use
4.9.5
Working directories
The creation of working directories is advisable if you tend to always access the same PC or network folders
via Online Filing, for instance, when selecting electronic documents to attach to your applications or when
importing data. You can create a central storage location in your company for documents associated with
ongoing patent applications and allow shared access to all users of Online Filing.
 Working directories are not supported when working with the PCT procedure (Form PCT/RO/101).
The default for all working directories is C:\Program Files\EPO_OLF5\fm, i.e. the installation folder that was
selected when setting up Online Filing.
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 Click Browse... to set the working directories for Import, Export, Attach (i.e. attaching files) and CD-R.
The directory specified for CD-R is used by Online Filing when you select the Physical Media option in the
sending dialogue; see Sending applications (p. 107). The application data is saved in a special file format
and can be burned to a CD or DVD later.
 Select the check box Remember the last used directory if you want Online Filing to access the last
directory you opened each time you import, export or attach files.
These working directories are updated in the user preferences every time you select another directory during
the corresponding action.
Figure 64: Modified working directories
4.9.6
Network settings
The network settings depend on how the computer network is configured in your company. By default, the
Online Filing Thin Client (i.e. the File Manager) uses the same internet connection as the Online Filing server,
which can be configured in the Server Manager.
 To modify the Internet connection for your personal Online Filing Client, de-select the check box User
Default Network Settings.
This opens the other fields for editing.
 Enter the IP address or the proxy server name in the Proxy Server field.
 Enter the number of the proxy server port in the field after the colon.
 If required, enter username and password for authorisation at the proxy server.
The SSL Version is set to TLSv1 by default and cannot be changed. To provide for enhanced security in terms
of data encryption, Online Filing does not use previous SSL versions anymore.
 Please contact your system administrator if you are unsure about the information you need to enter in your
situation.
Figure 65: User-specific settings for network connections
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System Preferences
In System Preferences, you can change global settings that apply to all users of Online Filing. This is usually
done by the Online Filing administrator or another user with appropriate user rights; see Profiles for group
authorisations (p. 79).
 In File Manager select Preferences > System Preferences from the Tools menu.
-ORClick the System Preferences button.
 Edit the settings as required.
 To apply your settings, click Save.
You are prompted to restart File Manager for the changes to take effect.
 To discard your changes and return to the Online Filing default settings, click Reset All Settings.
 To quit without applying any changes, click Cancel.
!
Note: The settings for production mode and demo mode are configured independently.
Figure 66: System preferences for the File Manager
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Security and user management
To protect your IP data, it is highly recommended that you establish uniform security rules for all users in your
company working with Online Filing. All users should log on with their user name and password, even if you have
installed the standalone version for a single-user environment.
Enabling User Management
Only the Online Filing Administrator can enable user management either immediately during the installation of
Online Filing or later in System Preferences. If user management is enabled, users must always enter their
user name and password to log on to File Manager.
 To enable User Management subsequent to the installation of the software, go to System Preferences in
the File Manager.
 Tick the Enable User Management check box.
 Click Save.
You are prompted to restart File Manager for the changes to take effect.
 Create user names and passwords as required; see Users (p. 72).
Enabling Folder Management
Folder management is not enabled by default. This option governs whether or not the Folders tab is active in
User Administration; see Sharing folders with groups (p. 85).
 To enable folder management, enable user management if it is not already enabled.
 Then tick the Enable Folder Management check box.
 Click Save.
You are prompted to restart File Manager for the changes to take effect.
Figure 67: Enabling folder management after user management has been enabled
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Password policy
If your company has a password policy for its network, you will be able to set up a similar policy in Online Filing
should you wish to. That way, users are presented with a log-on method and style with which they are already
familiar.
To enable password policy, user management has to be enabled by the Online Filing Administrator either
during installation of the software or later in File Manager's System Preferences.
!
Note: Depending on whether you are installing from scratch or updating your Online Filing
installation, different options apply for the production mode and demo mode of File Manager.
Password policy in production mode – installing Online Filing from scratch (version 5.06)
If you are installing the Online Filing software version 5.06 from scratch, you will use the full installation package
for version 5.06.
During the installation process, you will see a special window presenting the settings for user management and
password policy.
 If you enable user management now, password policy is also automatically enabled.
 The master user Administrator is created.
 You will be requested to enter a password for the master user Administrator that complies with the Online
Filing default password policy.
If required, you can enable or disable user management in System Preferences subsequent to installation.
This will also enable or disable password policy as both are interlinked.
 To enable user management and password policy, go to System Preferences in the File Manager.
 Tick the Enable User Management check box.
- The Enable password policy option is selected and the check box is locked.
- The password settings become editable.
Figure 68: Password policy is automatically enabled in production mode
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Password policy in production mode – updating from OLF version 5.05 to version 5.06
(a) If user management IS enabled in the Online Filing installation you are updating, you can enable password
management during the update process. You will see an extra window after the installation process starts.
 Select the Enable Password Management check box as appropriate.
Figure 69: Updating to OLF version 5.06: Password Management can be enabled during the installation process
(b) If user management IS NOT enabled in the Online Filing installation you are updating, password
management cannot be enabled during the update process.
 The Enable Password Management check box is not selected and locked.
Figure 70: Password management remains disabled if user management was not enabled before installing the update
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If you then enable user management, you can, in turn, enable or disable password policy in System
Preferences.
 Tick the Enable password policy check box as appropriate.
Figure 71: The password policy can be enabled if user management has been enabled
The password settings become editable.
Figure 72: After updating to OLF version 5.06: the "Enable password policy" option is unlocked if user management is enabled
Password policy in demo mode
If user management is enabled, you can enable or disable password policy as appropriate.
 To enable the password policy, tick the check box labelled Enable password policy.
 To disable the password policy, clear the check box Enable password policy.
The entry fields are disabled and reset to the default settings. However, users are not prompted to change
their password when they log on the next time.
 Click Save to restart the File Manager.
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Defining a password policy (production and demo mode)
When defining a password policy in Online Filing, the following setting parameters apply:
(1)
The minimum password length is 6 characters, i.e. letters, special characters or digits.
(2)
The maximum password length is 20 characters. This means that a number between 6 and 20 is allowed
in the minimum length field.
(3)
These special characters are allowed:
! # $ % * + , - . / : ; = ? @ [ \ ] ^ _ { } ~
(4)
The four minimum-number fields (lower-case letters, upper-case letters, special characters, digits) added
together must not exceed the value entered as the minimum length of the password.
Figure 73: Working within the setting parameters to define your own password policy
Example of a mismatch of password settings:
 Enter 6 in the Minimum length of password field.
 Enter 2 in each of the following fields: Minimum number of lowercase characters, Minimum number
of uppercase characters, Minimum number of special characters and Minimum number of digits.
These four fields add up to 8, which is greater than 6.
 Click Save.
You get an error message prompting you to correct your settings.
Changing your password policy (production and demo mode)
 In File Manager, go to System Preferences.
 Modify the field entries to match your password rules as required.
 To display more helpful information about the fields, move your mouse cursor over the little
icons.
 To discard your entries and return to the default values, click Reset to default settings.
 To apply the new settings, click Save.
You are prompted to restart File Manager for the changes to take effect.
If a user's password does not comply with the new password policy, he or she is prompted to provide a new
password when logging on to File Manager the next time, see Changing your password (p. 76).
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Signing settings
This is where you define the types of signature that your company should support for signing applications. The
settings are made separately for demo mode and production mode.
 Click Signing in the list on the left under the heading Online Services File Manager.
 Select or clear the check boxes as required.
For instance, if the Alphabetical check box is cleared, users cannot apply an alphanumeric signature to
their applications.
Figure 74: System preferences for signing
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Runtime variables
Runtime variables enable you to customise Online Filing in line with user requirements that extend beyond the
scope of the simple user preferences.
There is currently only one runtime variable for File Manager:
EP_warning_for_no_payment_mode_indicated. The EP prefix indicates that this variable affects all EP
procedures. The variable governs whether a grey or yellow validation icon is displayed on the Fee Payment tab
in EP forms if a mode of payment was not specified for this application.
Changing the value of a variable





Click Runtime Variables in the System Preferences window and select the variable you want to change.
Click the field in the Value column to activate the selection.
Select True or False.
Click somewhere else in the list to deactivate the selection.
Click Save.
Figure 75: Changing the runtime variable to "True"
False: Grey validation icon, the validation message is "Please enter mode of payment".
True: Yellow validation icon, the validation message is "Warning (set by system preferences): no mode of
payment is indicated".
The yellow validation icon is displayed in EP forms after you restart File Manager.
Figure 76: Yellow validation icon for the Fee Payment tab after changing the runtime variable
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PMS gateway interface
The PMS gateway is used to exchange data with the EPO over a local OLF server. Users of other patent
management systems (PMS) can use this interface to send their applications directly to the EPO via the OLF
server, without actually processing the applications with the OLF software. For EPO authentication, a smart card
reader with valid smart card must be connected to the computer running the OLF server.
For more information on the PMS gateway, refer to the following material on the EPO website:
 Under Online filing > Download software for filing with the EPO
(http://www.epo.org/applying/online-services/online-filing/download.html):
Online Filing v5 PMS development kit (for applicants and PMS providers)
 Under Online filing > Download documentation
(http://www.epo.org/applying/online-services/online-filing/documentation.html):
Importing Data into Online Filing version 5 and higher
!
Note: The PMS gateway interface can only be configured in File Manager's production mode. If
you want to test the PMS gateway interface in demo mode, please enable it in production mode
first. Your production mode settings will apply in the demo mode.
 Open the System Preferences window.
 Select the PMS gateway interface option.
The default setting is Not enabled.
 Select the Smart card option and enter the smart card PIN code.
 At present, applications in EP procedures cannot be signed with a soft certificate and filed with the EPO.
 Enter the HTTP port number of the server and the valid term for the password or PIN.
Figure 77: Settings for the PMS gateway interface when using a smart card
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Technical coordination with the EPO
The EPO or the other patent offices can only accept files via the PMS interface if the PMS software used has
already been approved. This guarantees that applicants only use PMS software that has been
compatibility-tested with the EPO Online Filing system.
If you are using custom-made PMS software, approval must be obtained from the EPO User Support or the
customer services departments of other patent offices before you use the software with the PMS gateway.
 If these requirements are satisfied, select the option I confirm that the PMS software has been
approved by the patent office(s) concerned.
 The option Enable filing to production allowed activates after this confirmation.
Do not select this option until your tests have been successfully completed and you want to enable the
interface for your users for the transmission of documents to the EPO.
4.10.6
Filing settings
The sections EP-Filing and PCT-Filing in the System Preferences window contain information on the
software version, the date of installation and the options for sending applications. You can define the settings
individually for each procedure installed.
!
Note: The EPO recommends Online (online filing over the Internet) as the default setting for filing
applications.
The Physical Media option is an alternative for sending applications over a secure Internet connection. You can
burn data to a CD- or DVD-ROM and send it by post or courier to the EPO. This might be suitable for very large
files (e.g. extremely long sequence listings) that would take considerable time to transfer over an Internet
connection.
Figure 78: Settings for EP filing, "Online" send method
The default setting can be changed to Physical Media.
Figure 79: Settings for EP filing, "Physical Media" send method
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The Allow CD-R filing check box is selected by default so that users always have the opportunity to choose
between Online and Physical Media when sending applications.
If this check box is cleared, Online is the only option allowed and applications cannot be filed over physical
media.
Figure 80: Settings for EP filing, CD-R filing not allowed
4.11
User Administration
User Administration in Online Filing can be used to create individual authorisation concepts for users and user
groups. This enables you to provide details on the Online Filing system administrator, specify which data is
released in a network and which actions may be performed in the software by individual users.
 User management settings are specific to the current mode, that is, to demo mode or to production mode, to
ensure that any work in one is kept entirely separate from the other.
Enabling or disabling user management
Only a user with Administrator ID has the privilege to enable User Management in File Manager and assign
administrator rights to others. As a master user, the Administrator is automatically created when installing the
Online Filing server and cannot be deleted later.
If User Administration is enabled, users are always prompted to log on with their user name and password when
starting Online Filing.
!
Attention: Make sure you create a second user with full administrator rights, i.e. with authorisation
to perform user administration. The Administrator user is blocked after three successive attempts
to log on with the wrong password. If this happens, there is no way to reset the password unless
there is another user with administrator rights configured on your system.
 Log on to File Manager with the Administrator user name.
 In File Manager select User Administration from the Tools menu.
 If the option is unavailable, go to Tools > Preferences > Systems Preferences in File Manager and
select the check box Enable User Management.
 After enabling or disabling user management, restart the File Manager.
 Disabling user management does not mean that your existing user-rights configuration is deleted. If you
enable user management again, the same user names and passwords apply as before.
!
Note: Once User Administration has been configured, this data can be transferred to a different
server machine running Online Filing. For more details see User Data Migration (p. 434) in the
Server Manager section.
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Features in User Administration
There are five tabs in the User Administration window, providing the following functions:
Tab
Comments
Users
Entering details for individuals, creating passwords and assigning users to groups.
Groups
Creating groups based on company roles, or other criteria as appropriate.
Profiles
Creating lists of privileges for using the software.
Mapping
Assigning profiles to groups.
Folders *)
Assigning authorisations for individual folders to groups.
*) The Folders tab is only active if the Enable Folder Management option is selected in
System Preferences; see Security and user management (p. 61).
Changes that you have made but not yet saved in User Administration are indicated by a small grey arrow on the
right. The total number of entries with unsaved changes in the open tab is displayed on the status bar.
 Click the Save All button to save your work in all tabs within User Administration.
 Click the Revert All button to discard all changes.
Figure 81: User Administration with unsaved entries
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Users
The Users tab lists all persons who are authorised to use Online Filing. Login names and passwords are case
sensitive, so they must be typed exactly as created in upper and lower case.
!
Note: Configure groups and profiles first and then add the individual users to the groups you want.
Creating a new user
The Administrator and other users with user administration authorisation can create new users and assign
them privilege profiles.
 The Administrator is automatically created when installing the software and cannot be renamed or deleted
later.
 Click the New button on the left.
 In the middle panel enter the first name and last name.
 Enter the login name.
The login name is the one that appears as Last saved in the Info Pane – see Previewing applications (p. 29)
– so it should be readily identifiable to all system users.
 Enter a password for the new user.
 Enter the password once again in the Verification field.
 If password policy is enabled and your proposed password does not comply with it, you will be prompted to
supply a new password once you click the Verification field; see Changing your password (p. 76).
Figure 82: New user with login name
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Adding user to a group
 Click the New button in the middle of the tab under Is Contained in the Following Groups.
The Add User to Group window opens.
 Select the group(s) for this user.
 Click Add.
The user inherits all privilege profiles assigned to these groups.
Figure 83: Adding users to a group
 Finally click the Save All button.
Modifying user data
The Administrator and other users with user-administration authorisation can change user data if necessary.
For example, if a user forgets his or her password, the Administrator can create a new password for this user.
When users are logged in, they can change their password by selecting Change password from the Tools
menu; see Changing your password (p. 76).
The Administrator's name and login name cannot be modified, however. These data fields are locked by
default.
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Unblocking users
Online Filing automatically disables a user account after three successive attempts to log on with the wrong
password.
Figure 84: Blocked user is unable to log on to File Manager
The user Administrator - or another user who is member of the Administrators group - can unblock the user
to let him log on to Online Filing again.
!
Attention: Make sure you create a second user with full administrator rights, i.e. with authorisation
to perform user administration. The Administrator user is blocked after three successive attempts
to log on with the wrong password. If this happens, there is no way to reset the password unless
there is another user with administrator rights configured on your system.
Unblocking a user account
The Account is disabled check box is selected for this user in User Administration.
 Clear the check box.
 Click the Save All button.
Figure 85: User is disabled and can be re-activated in User Administration
Blocking a user account
The administrator can, if required, also disable a specific user, assuming permanent deletion of the user is not
intended.
 Tick the Account is disabled check box.
 Click the Save All button.
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Unblocking the Administrator
The administrator account can also be blocked after three failed attempts to log on. To unblock this account,
another user with user management privileges must log on to File Manager. The following message box appears
when opening User Administration:
Figure 86: Message when starting User Administration with a blocked administrator account
 Click OK.
User Administration opens. The check mark in the Account is disabled check box automatically
disappears.
 Click the Save All button to complete the operation and re-activate the administrator account.
Figure 87: Removing the block on the "Administrator" user account
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Changing your password
When you are logged on to File Manager you can change your password.
 From the Tools menu, select Change password.
The Change password window opens.
 Enter your old password.
 Enter your new password.
 Enter your new password a second time to confirm.
 Click OK.
Figure 88: Changing your password
Applying password policy
If password policy is enabled and your new password does not comply with it, you are prompted to modify your
new password after you click OK in the Change password window.
 The same warning message appears if you log on to File Manager after the password policy has been
changed and your old password no longer complies with it.
Figure 89: New password does not comply with the password policy
 To close the warning message, click OK.
 Edit your new password as required in the Change password window.
!
Note: Only the following special characters are allowed:
! # $ % * + , - . / : ; = ? @ [ \ ] ^ _ { } ~
For more information on password rules, see Password policy (p. 62).
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Groups
The Groups tab is used to administer the user groups that were defined for your company. You can name the
groups after employee roles, such as attorneys, paralegals and assistants, or use any other definitions that suit
your requirements.
The group Administrators already exists and cannot be deleted. The Users group is also automatically
created when installing Online Filing, but can be edited as required.
Creating groups
 In the Groups tab, click the New button.
 In the middle panel enter a name in the Group Name field.
 If required, also enter a Description for the group.
 Click the Save All button.
Figure 90: New group created
As a new group does not have any privilege profiles, No privileges assigned yet appears on the right under
Summary. Privileges are assigned on the Mapping tab (see "Mapping profiles to groups" p. 84).
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Adding users or subgroups to a group
You can add individual users or even complete groups to a group.
 It is not recommended to create complex group structures, i.e. groups that contain groups containing other
groups. This kind of right management can become very confusing and may result in the authorisation of users
for certain tasks they should not be allowed to perform.
 Click the Add button in the middle of the Groups tab
 Select Add Users or Add Groups.
The list of all registered users or groups is created. The list does not include blocked users.
 Select all users or groups you want to add to the selected group.
 Click Add.
Figure 91: Selecting users to add to a group
 Click the Save All button.
The users or groups added inherit all authorisations of the group you just edited.
If a user tries to carry out an action in the software that is not within his rights, he will receive a message warning
him that he does not have the appropriate rights. Thus, if a user's access rights are not sufficient to perform
certain operations, the Administrator should move him or her to a more appropriate group.
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Profiles for group authorisations
The Profiles tab allows you to create different lists of privileges and assign them to groups.
You can use profiles to define authorisations for specific activities in the company, combine them as required and
assign them to the various user groups. You can also select individual privileges from the list of all available
privileges and modify profiles again at any time.
 Changes to profile-specific privileges only take effect after you save and quit user administration.
The privileges are grouped into four headings:
 Address Book Management
 Application Workflow
 Folder/Data Management
 User Management
Three standard profiles are created when you install the software:
 Administrators profile - this profile is mapped to the Administrators group. You cannot deactivate the
privileges under User Management nor can you delete the Administrators profile.
 Default administrator profile - this profile can be used as a template to provide additional user groups
with administrator rights as well as to set specific rights restrictions. The settings under User Management
can therefore be edited.
 Default user profile - this profile is suitable for user groups mainly involved in processing applications. The
Edit Maintenance Fees privilege under Folder/Data Management is deactivated.
Apart from the restrictions specified above, you can edit and rename these three profiles as required.
Figure 92: Individual privileges for "Default user profile" are deactivated under "Folder/Data Management"
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Creating profiles
 Click the Profiles tab.
 In the Profiles tab, click the New button.
 In the middle panel enter a name in the Profile Name field.
 Click the Save All button.
Selecting privileges
The list of all privileges in the middle is available after a save. No privileges are selected by default.
 Double-click the text of the Privileges heading you wish to modify.
-ORDouble-click the small black pointer
to the left of the Privileges heading.
 Select the check boxes you require for this profile.
 You can select an entire group of privileges by selecting the check box next to the relevant heading.
 To close the list again, double-click the pointer .
-ORDouble-click the text of the Privileges heading.
 Enter a short description of the new profile in the Description field.
Figure 93: Edit privileges for profile
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List of privileges
Privilege
Description
Address Book Management
Create, delete and edit entries in the Address Book.
Create Contact
Add entry to Address Book.
Delete Contact
Remove entry from Address Book.
Edit Contact
Change details for an existing Address Book entry.
Application Workflow
Control tracking and management of all activities from
start to finish.
Application
Control activities on forms which can no longer be
edited.
Delete Application in "Ready to Send" state
Place application with "Ready to Send" status in Trash
folder.
Delete Application in "Ready to Sign" state
Place application with "Ready to Sign" status in Trash
folder.
Delete Application in "Sent" state
Place application with "Sent" status in Trash folder.
Move Application Back from "Ready to Send" to
"Ready to Sign"
Change status to "Ready to Sign". This action removes all
signatures from application.
Move Application Back from "Ready to Sign" to
"Draft"
Return application to "Draft" status. The application may
then be edited.
Move Application from "Ready to Sign" to "Ready
to Send"
Change status to allow sending.
Remove Signature/Signatures
Allow use of Remove button for individual signatures in
signing window.
Send Application
Transmit application to EPO.
Sign Application
Apply alphabetical/facsimile/digital signature according to
signing methods supported in File Manager > Tools >
System Preferences.
View Application in "Ready to Send" State
Open application with "Ready to Send" status to display
data entered. Status cannot be changed.
View Application in "Ready to Sign" State
Open application with "Ready to Sign" status to display
data entered. Status cannot be changed.
View Application in "Sent" State
Open application with "Sent" status to display data
entered. Status cannot be changed.
Draft
Control activities relating to applications which can
still be edited.
Create Draft
Add new application based on a procedural form.
Delete Draft
Place application with "Draft" status in Trash folder.
Edit Draft
Change data entered in application with "Draft" status.
Move Draft to "Ready to Sign"
Change status of application to allow signing.
Once the application has been moved to "Ready to Sign" it
can only be edited if it is moved back to "Draft".
View Draft
Open application with "Draft" status to display data
entered. Status cannot be changed.
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Privilege
Description
Template
Control activities relating to templates used to create
new drafts.
Copy template
Add a copy of an existing template.
Create template
Use an existing application or draft to save as template.
Delete template
Move a template to Trash folder.
Edit template
Open a template to modify data.
Folder/Data Management
Control activities relating to external information, file
maintenance and reference settings.
Export/Import
Control activities relating to information stored
outside the Online Filing software application.
Export Address Book
Send Address Book data to external CSV file.
Export XML (GUI)
Back up and archive Online Filing data. Send Online Filing
data to external XML files in folder or ZIP format.
Import Address Book
Bring external CSV data into Address Book.
Import XML (GUI)
Bring external XML data into Online Filing.
File Manager
Control activities related to file maintenance and
preference settings.
Change Global File Manager Settings
Set preferences for overall system usage.
Change Personal File Manager Settings
Set preferences for individual system usage.
Create Folder
Add a new folder for storing applications in File Manager.
Delete Folder
Remove a folder from File Manager. The "Default" folder
cannot be deleted.
Edit Maintenance Fees
Change fees in File Manager > Tools > Fee Management.
Empty Trash
Permanently delete any items in Trash folder.
Move To Folder
Change location where application is stored.
Rename Folder
Edit folder name.
Live Update/Start Application
Control activities relating to Online Filing system
updates.
Use Live Update - Apply
Check for software updates.
Use Live Update - Download
Bring suggested updates into your local storage area.
User Management
Control activities relating to setting up user and group
profiles and assigning system privileges in Tools >
Administration.
Group
Control activities relating to defining and managing
groups of users.
Create Group
Add a new group name.
Delete Group
Remove an existing group name.
Edit Group
Add individual users to a group or remove them.
Rename Group
Change a group name.
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Privilege
Description
Modify Mapping
Control activities relating to applying privileges to
groups and individuals.
Profile
Control activities relating to assigning and maintaining
lists of privileges for users and groups.
Create Profile
Add a profile name and assign privileges to it.
Delete Profile
Remove a profile name.
Edit Profile
View and change privileges assigned to a profile.
This privilege is required for any activity relating to creating
sets of privileges, mapping privileges to users or groups, or
changing privileges.
Rename Profile
Change a profile name.
User
Control activities relating to maintaining list of system
users.
Create User
Add an individual name, enter login name and initial
password for user and assign to group.
Delete User
Remove an individual name.
Edit User
Change login name and password for user and change
group assignments.
Rename User
Change an individual's first name / last name.
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Mapping profiles to groups
The Mapping tab is where you assign the required privilege profiles to groups. The Administrators group is
mapped by default to the Administrators profile. This assignment cannot be revoked.
 Click a group name on the left.
 Select the check box in the middle panel to assign the associated profile.
 You can assign multiple profiles to a group. This means that the group will inherit all privileges contained
in the individual profiles.
 Click the Save All button.
 To make sure each group has the privileges you intend, click each group name in turn, and then scroll down
the summary of privileges on the right.
Figure 94: Check privileges after mapping profiles to groups
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Sharing folders with groups
In the Folders tab, you can define which of the user-defined folders in File Manager may be accessed by which
user group.
The Folders tab is only active if the Enable Folder Management option is selected in the System
Preferences; see Security and user management (p. 61).
Default folder rights
(1)
(2)
(3)
(4)
The system folders All Applications, Default Folder, Forms, Templates and Trash are visible to all
users.
The items contained in the Default Folder and Templates folder are accessible to all users.
The items contained in All Applications and Trash are only accessible to the user who created them
and to the Administrators group. For example, if a user creates an application and moves it to the
Trash folder, only this user or a member of the Administrators group can see that item.
The user-defined folders are accessible only to the user who created them and to the Administrators
group. The same applies for sub-folders in user-defined folders and for sub-folders in the Templates
folder.
Assigning folders to a group
To make a user-defined folder and its contents accessible to other users, a user with user management
authorisation can assign this folder to a specific user group.
 In User Administration, click the Folders tab.
All user-defined folders that were created in File Manager are listed in the window's central pane.
 Click a group name on the left.
The folders and sub-folders that are currently accessible to the selected group are shown on the right.
 To assign another folder to the selected group, tick the corresponding check box in the central pane.
If a parent folder is selected, all of its sub-folders are also selected, even those yet to be created.
 To assign individual sub-folders to the selected group, double-click the relevant parent folder.
The sub-folders are displayed.
 Tick the check boxes for the relevant sub-folders, including sub-folders in the Templates folder.
 Finally click the Save All button.
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The selected folders and sub-folders are then displayed on the right. This sequence corresponds to the order in
which the selected user group will see the folders in File Manager.
Figure 95: Assigning folders to a group
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The selected folders are then displayed for the users from the selected user group when they log on to File
Manager.
In this example, the sub-folder 2013 was subsequently created. Because its parent folder, Nano Enterprise,
has been assigned to the Assistants group, the new sub-folder is also automatically shared to the Assistants
group.
Figure 96: Folders visible to a user through group sharing
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Fee management
The Fee Management option shows you which fees are valid in Online Filing at a given date. Fees are
displayed from the effective date on the Fee Payment tab of the EP forms when a new application is created.
Online Filing version 5.08 does not allow you to either create your own fee tables or delete EPO fee tables. The
and
buttons are therefore deactivated.
Viewing fee tables
 In File Manager select Fee Management from the Tools menu.
The fees are grouped on the left by type of fee and creation date.
 Click a group to see the list.
The new fees that were added as supplementary options following the various fee reforms can be found at
the end of the list. The codes for these fees have a lower-case e suffix. The forms may display both fee
variants for selection, depending on the options selected for fee payment.
Figure 97: Fee groups
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Modifying fee amounts
The EPO always releases the latest revision of fees for manual download and for installation via Live Update
(p. 426). This means that you normally are not supposed to change any of the fee information. If, however, you
do need to change fees for operational reasons, you can edit the individual amounts in the fee table. Your Online
Filing user account must have the necessary rights for this.
!
Attention: Once you have saved your changes, you cannot automatically reload the original
amounts in the fee tables. However, you can manually change the fees to bring them into line with
the EPO's latest schedule of fees.
 Select the fee you want on the right-hand side of the list.
 Click the amount you want to change in the New amount column.
The field is opened for editing.
 Enter the new amount as a whole number.
 Click the Revert All button to discard changes.
 Click the Save All button to apply the changes.
Figure 98: New fee amount entered
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Maintenance table viewer
This option allows you to view lists of standard data, e.g. filing offices and depositary institutions.
 Maintenance tables cannot be edited. The EPO makes changes available via Live Update.
 In File Manager select Maintenance Table Viewer from the Tools menu, and then select the option you
require:
- Common Maintenance for a list of countries with country codes and regional divisions.
- EP Maintenance for filing offices and other data
- PCT Maintenance for receiving offices and other data.
Depending on the national plug-ins installed, additional options are displayed.
 Select an entry on the left to display any associated data from the maintenance table on the right, for
instance, select Filing Offices.
This table also contains the URLs (Internet addresses) of the production server and demo server in the filing
offices involved.
 To retrieve information relevant at a date in the past or in the future, select a different date in the box in the
top right corner.
Figure 99: Common Maintenance, Filing Offices Table
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Processing applications
After a new draft has been created, more actions are required before the application can be submitted to the
receiving office.
This section describes the submission workflow common to all standard procedures (EP and PCT) and explains
some additional functions for data handling in Online Filing.
 The patent specification and all other accompanying documents are made available in an appropriate format
for electronic filing; see Preparing documents for attachment (p. 91).
 The application is signed by one of the methods accepted by the receiving office. A digital signature, usually
with a personal smart card and PIN, is always required in addition to alphabetical or facsimile signatures; see
Signing applications (p. 93).
 The application is sent to the receiving office, either electronically or physically; see Sending applications
(p. 107).
 Applications and templates can be exported from Online Filing for backup and archiving purposes; see
Exporting data from Online Filing (p. 110).
 Going in the other direction, previously exported items can be imported back into Online Filing for use as a
basis for new applications or for looking up information; see Importing data into Online Filing (p. 116).
5.1
Preparing documents for attachment
Depending on the selected procedure and the type of document requested, you can select from several file types
when attaching electronic documents to a form.
File type
Document type
Procedure
PDF
All document types, default option
EP, PCT
XML
(PatXML)
Patent specification; prepared with the PatXML Software, including
referenced JPG or TIF images
EP(1001E2K),
PCT/RO/101
TIFF (TIF)
Facsimile signature
EP
JPEG (JPG)
Facsimile signature
EP, PCT
TIFF (TIF)
All document types
PCT
JPEG (JPG)
All document types
PCT
TXT
Sequence listing
EP, PCT
APP, SEQ
Sequence listing, compliant with WIPO Annex C/ST.25
EP, PCT
ZIP
Pre-conversion archive, sequence listing
EP, PCT
Generating XML files
Various software products are available from national and international patent offices which allow users to
generate XML files which meet their standards:
 PatXML (EPO) is based on Microsoft Word®. Users can prepare their documents in the familiar Word
environment or import documents formatted using standard sections. The format of the finished XML files is
.pxml.
More information about PatXML can be found on the EPO website at Applying for a patent > Online
services > Online Filing > Download auxiliary software
(http://www.epo.org/applying/online-services/online-filing/auxiliary.html).
 PCT-SAFE Software (WIPO)
For information about this product see the WIPO website at IP Services > PCT > PCT Electronic Filing
(http://www.wipo.int/pct-safe/en/).
Images which are part of the technical documents are referenced in the XML format to be attached and are
automatically uploaded in the background. You will see these files later in Online Filing's PDF Viewer.
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Generating PDF files
The PDF file format is suitable for all documents containing text or images. For example, you can store additional
descriptions and notes relating to your application in PDF format or scan original documents not available in
electronic form and convert them into PDF files.
To generate PDF documents for use in Online Filing, it is recommended that you use the Amyuni® PDF
Converter which is delivered free of charge with the Online Services starter kit CD-ROM. The Amyuni® PDF
Converter has been customised to embed all fonts (even the copyrighted ones) and has been preset with the
required paper size.
Besides Adobe Acrobat®, there are many other products on the market that generate PDF documents. You may
use any software which produces compliant PDF documents in a format compatible with Adobe Portable
Document Format version 1.4 (Acrobat version 5 or higher).
Compatibility requirements by the EPO and WIPO
The European Patent Office can only accept documents which are compliant with Annex F. A full version of
Annex F can be found on the WIPO website at IP Services > PCT > Legal Texts
(http://www.wipo.int/pct/en/texts/).
Rules for Annex F-compliant PDF files
PDF files must be compatible with Adobe PDF version 1.4 or higher.
The text in the PDF files must not be encrypted.
PDF files must not contain any embedded OLE objects.
The text in PDF files must not be compressed.
Any fonts used in the PDF file must be embedded.
The paper size in the PDF file may exceed A4 or US letter format by up to 5%, so, sizes up to 312 mm by 227
mm or 12.28" by 8.94" are accepted. Online Filing issues a warning if the document's paper size is larger and
will not attach the PDF file.
 A mixture of landscape and portrait formats is allowed in a file.






Rules for Annex F-compliant images
 TIFF (file type .tif)
- Only black and white images are allowed
- When saving an image as TIFF the following settings should be selected: TIFF V6.0 with Group 4
compression, single strip, Intel encoded (i.e. for IBM PC format, not Macintosh).
- Image resolution must be 300 or 400 dpi.
- The recommended maximum page size is 255 mm x 170 mm.
 JPEG (file type .jpg)
-
Image resolution must be 300 or 400 dpi.
The recommended maximum page size is 255 mm x 170 mm.
Creating ZIP archives for attachment as pre-conversion archive
You can create ZIP files by using archiving software such as WinZip or WinRAR. However, the easiest method is
to use the Send to option in Windows Explorer:
 Select the files or folders you wish to archive.
 Right-click the selection and from the context menu select Send to > Compressed (zipped) folder.
The selected files or folders are packed into a new ZIP file.
!
Note: The EPO does not recognise documents as legally binding if they are exclusively filed as
part of a ZIP archive. To be accepted as legally binding filings, the official patent documents must
always be attached in PDF or ST.25 format under the correct document type.
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Signing applications
Once all the mandatory information is completed, the application can be signed by users with appropriate user
rights in Online Filing.
Types of signature
The EPO accepts three legally recognised types of signature:
1. Alphabetical
The name of the signatory is entered in the electronic form via the computer keyboard; see Alphabetical
signatures (p. 96).
2. Facsimile
An electronic file containing a scanned image of a handwritten signature is attached to the application; see
Facsimile signatures (p. 98).
3. Enhanced digital signature with smart card
A personal smart card is inserted into the reader connected to the PC and the user's PIN code is entered; see
Smart cards (p. 99).
An application can contain multiple alphabetical and/or facsimile signatures. It cannot be sent, however, until an
enhanced digital signature has also been applied. No further signatures can be added once an enhanced digital
signature is added as this finalises the signing process.
!
Note: For more information on enhanced electronic signatures, please refer to Articles 7 and
Article 8 of the "Decision of the President of the European Patent Office dated 26 February 2009
concerning the electronic filing of documents", published in the Official Journal EPO 3/2009,
p. 182-187. (http://archive.epo.org/epo/pubs/oj009/03_09/03_1829.pdf)
Applying a signature
A signature may be applied by any smart card user in any of the three accepted formats when filing to the EPO.
A person applying an alphabetical or facsimile signature need not be party to or authorised in proceedings but
the signature applied must be of a person authorised and recognised by the EPO to act in the proceedings in
question. Any such signature will then need to be confirmed by an enhanced digital signature for non-repudiation
before it is sent. This confirms the identity of the smartcard user applying any such signature (not applicable to
appeal proceedings).
An enhanced digital signature using a smart card should only be applied for normal signing purposes by a smart
card holder who is authorised to act in proceedings before the EPO, for the application being signed. The smart
card signature of a smart card holder not authorised to act in the proceedings for which that signature is applied
will not be accepted as valid.
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Preparing for signature
If you want an application to be signed, you must first move it to Ready to sign status in the workflow process.
There are two ways to do this while the application is still in Draft status:
 Select Save As > Ready to Sign from the File menu in the open application.
The form view closes, leaving the application in Ready to sign status in File Manager.
-ORSelect the application in File Manager and click the Next button (the tool-tip indicates "Ready to sign")
Figure 100: Moving an application from "Draft" to "Ready to Sign" status
Starting the signing process in File Manager
If the status of the application is Ready to sign, the signing process is automatically started as the next stage in
the workflow process as soon as you open the application or click the Next button.
 Open the application in File Manager with a double-click.
-ORSelect the application in File Manager and click the Next button (the tool-tip indicates "Sign").
Figure 101: Starting the signing process from File Manager
Starting the signing process directly from draft status in the form
You can skip the Ready to sign status by activating the option Start signing immediately when moving
application forward from draft status under Confirmations (p. 57) in User Preferences. This means that
the signing dialogue will be opened immediately.
 Form PCT/RO/101 provides different functions; see Processing the PCT/RO/101 application (p. 353) in the
section on PCT/RO/101 or in the online help for form PCT/RO/101.
 Select Save As > Ready to Sign and Sign from the File menu.
-OR-
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Click the Next button (the tool-tip indicates "Move to Ready to Sign and Sign").
Figure 102: Tool-tip "Move to Ready to Sign and Sign"
Signing
The PDF Viewer opens with a preview of the application. It is recommended that you use this opportunity to
check all documents for accuracy before the application is signed.
 Click Sign Now on the lower right of the PDF Viewer.
 To stop the signing process, click Cancel.
This returns the application to the Ready to sign status in File Manager.
Figure 103: PDF Viewer with "Sign Now" button
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Alphabetical signatures
In the example below, the proprietor of the patent files a submission in opposition proceedings. The proprietor is
represented by a patent attorney, whose secretary is going to send the application to the EPO.
You, the secretary, apply an alphabetical signature on behalf of the attorney and then sign the application with
your own smart card for non-repudiation; i.e. you confirm the validity of the alphabetical signature with your own
smart card signature.
 Select the representative's name as signatory in the Sign Application window.
 Under Type of signature, select Alphabetical.
 In the Signature field, enter the name of the person enclosed in slashes, e.g. /David Kilburn/.
 Enter the Place of signing (optional).
 Click Sign.
Figure 104: Applying alphabetical signature for the representative
A warning appears if you accidentally remove or forget to enter the slashes in the Signature field.
 Click OK.
Figure 105: Note on alphabetical signature
The missing slashes are automatically inserted by the software.
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Other actions
 Add more signatures if required.
 To remove a signature, select the corresponding name and click Remove.
 To save the current selection for the type of signature, select the check box Save settings as default.
This changes the Signing preferences (p. 57) in the User Preferences.
 Click Close when ready.
Figure 106: Other options in the Sign Application window
The following message box appears while Online Filing is processing the text signature.
Figure 107: Message box that appears when a signature is being created
The Sign Application window closes automatically when the process finishes.
The status of the application remains in Ready to sign in File Manager because the sending process cannot be
initiated without an electronic signature.
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Facsimile signatures
In this example, the applicant is a legal body and represented by an employee under Article 133(3) EPC. The
facsimile signature of the employee is attached to the application.
 Prepare the signature as an image file by scanning a sheet of paper with the handwritten text or using a pen
tool to write the signature in a suitable graphics suite.
- You can use files in either TIFF (*.TIF) or JPEG (*.JPG) format. The default is TIFF.
- The file name must not contain any spaces or special characters.
- The signature file must be Annex F-compliant (see "Preparing documents for attachment" p. 91).
 In the Sign Application window select the relevant Applicant (if not already selected).
- The Employee name (Art. 133 EPC) field is automatically populated with the name entered in the
Names tab and cannot be edited.
- The Function of person signing field remains empty and is disabled.
 Under Type of signature, select Facsimile.
 Enter the Signatory Name.
 To attach the image file with the signature, click Choose File, navigate to the file's storage location and click
Open to select it.
The button's label changes to Remove.
 Enter the Place of signing (optional).
 Click Sign.
 Click Close when ready.
Figure 108: Facsimile signature for the applicant's employee attached in JPG format
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The following message box appears while Online Filing is processing the facsimile signature.
Figure 109: Message box that appears when a signature is being created
The Sign Application window closes automatically when the process finishes.
The status of the application remains in Ready to sign in File Manager because the sending process cannot be
initiated without an enhanced electronic signature.
5.2.3
Smart cards
The European Patent Office provides registered users of Online Services with smart cards for digital signing.
Smart cards are a very secure method for encrypting signatures.
Smart cards can be ordered free of charge from the EPO. Alternatively, you can register existing smart cards with
the EPO for filing. For more information, go to the EPO website at Applying for a patent > Online services >
Security > Smart cards (http://www.epo.org/applying/online-services/security/smart-cards.html).
The smart card is produced by a certification agency. It includes two certificates, a PKCS#7 certificate and a
PKCS#11 certificate. Both contain a public and a private RSA key for the user. The private key is only visible if a
user logs on to the smart card administration tool (GemSafe Toolbox) with the smart card PIN.
Figure 110: Inserting smart card into card reader
Security information
When an attorney leaves a company, the company should inform EPO User Support and have the attorney's
card revoked. It should also tell the EPO the identity of the attorney taking over the relevant files. The files are
then detached from the previous representative and attached to the new one. After this has been done the
previous attorney will no longer be able to see the files as "his" assets.
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5 Processing applications
Note: Smart cards may not be shared. Each and every person in a company who has the right to
access Online Filing should apply for a personal smart card. These should not be given to any
other employee. The personal smart card allows the holder to use all EPO Online Services for
which he is authorised by his enrolment.
Signing with the smart card as an applicant or representative
A smart card signature is legally binding. You cannot add any more signatures after you sign an application with
the smart card.
In this example, you, the representative, are a natural person and you sign the application yourself.
 Select the representative in the Sign Application window.
 Under Type of signature, select Smart Card.
 Insert your personal smart card into the reader connected to your PC; see Checking the smart card
(p. 103).
 Enter your PIN code.
 Enter the Place of signing (optional).
 Click Sign.
Figure 111: Representative signing with her personal smart card and PIN code
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Signing with the smart card as a legal applicant
The legal owner or director of a company may sign an application with a personal smart card, if there is no
authorised employee or representative. The function of the person signing can be optionally specified in the
signing dialogue. However, the name of the smart card holder will always appear on the PDF form to identify the
signatory to the EPO.
In the example below, you, the director of a company, enter a function and sign as the applicant.
 In the Sign Application window, select the role on the left.
- The Employee name (Art. 133 EPC) field remains empty and is disabled.
 Enter the Function of person signing, e.g. Director (optional).
 Under Type of signature, select Smart Card.
 Enter the PIN code.
 Enter the Place of signing (optional).
 Click Sign.
Figure 112: The director of a company signs as a legal applicant
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Signing with the smart card as an employee under Article 133 EPC
Only an employee who is authorised to represent the applicant under Article 133 EPC is allowed to sign an
application for the applicant. That employee's name is indicated in the Names tab of form EP(1001E2K),
Euro-PCT(1200E2K) or EP(Oppo); see the corresponding sections in this user guide.
For more legal information visit the EPO website to read the full text of Article 133 EPC
(http://www.epo.org/law-practice/legal-texts/html/epc/2010/e/ar133.html).
The example below shows you, an employee authorised under Article 133 EPC, signing for the opponent, legal
person.
 Select the applicant on the left.
- The Applicant Name and Employee Name (Art. 133 EPC) fields are automatically populated and
locked for editing.
- The Function of person signing field remains empty and is disabled.
 Under Type of signature, select Smart Card.
 Enter the PIN code.
 Enter the Place of signing (optional).
 Click Sign.
Figure 113: Employee signing for applicant/opponent under Article 133
The message box "The electronic signature is being applied …" appears while Online Filing is processing the
digital signature.
The Sign Application window closes automatically when the process finishes. The status of the application
changes to Ready to send in File Manager.
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Checking the smart card
The Smart Card Checker tool is automatically installed together with the File Manager, i.e. the Online Filing
client.
The Smart Card Checker makes work easier for users signing with different types of smart card issued by
different national patent offices. The Smart Card Checker tool automatically checks the type and manufacturer of
the smart card as soon as it is inserted in the reader, automatically finds the correct smart card driver software on
the computer and checks the registered certificates.
The Smart Card Checker starts at the same time as the OLF File Manager. When active, the Smart Card
Checker icon is displayed on the Windows toolbar. The icon for the smart card reader shows a small certificate
when the user data has been successfully read from the smart card.
Figure 114: Programme icons in the Windows system tray
Check smart card using the OLF Smart Card Checker
 Make sure that the smart card reader is connected to your computer and working properly.
 Insert your smart card into the reader.
The green LED stops flashing and lights continuously when the smart card is operational.
 Right-click the system tray icon and select Check Smartcard.
Figure 115: Check smart card
The smart card is checked. The Smart Card Checker displays the message "Smart Card recognized".
Figure 116: Smart card recognized
If no smart card reader is connected to your computer, if the smart card is not properly inserted or if it is invalid,
the Smart Card Checker will tell you that the smart card has not been recognized.
The green LED on the reader flashes if the smart card was not inserted correctly or cannot be read. The reader's
icon also shows that there is no smart card in the reader, indicating that certificates could not be read.
Figure 117: Smart card not recognized
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5 Processing applications
Soft certificates
Note: At present, the EPO does not accept soft certificates as an electronic signature for filings to
the EPO server.
The soft certificate signing option can be used for online filing, however, if the office concerned accepts this
certificate. Please see the website of the office concerned for details.
Signature with a soft certificate
In this example, a PCT/RO/101 application to the International Bureau as the receiving office is digitally signed
with a soft certificate issued by WIPO.
 Select the signatory in the list.
 Under Type of signature, select Soft Certificate.
 Click Choose File.
Online Filing accepts PKCS#12 certificates with the file name extensions .p12 or .pfx.
 Select the soft certificate file and click Open.
Figure 118: Selecting the soft certificate for digital signing
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The button label changes to Remove.
 Enter the PIN code.
 Enter the Place of signing (optional).
 Click Sign.
Figure 119: Applicant signing with soft certificate and PIN code
The following message box appears while Online Filing is processing the digital signature.
Figure 120: Message window that appears when the electronic signature is being created with a soft certificate
The Sign Application window closes automatically when the process finishes and the status of the application
changes to Ready to send in File Manager.
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Non-repudiation signature
An application without an enhanced digital signature, i.e. which has been signed with an alphabetical or facsimile
signature but not with a smart card, must be manually changed to Ready to send status in File Manager.
Before the application can be sent, a signature for non-repudiation is required. Applying a non-repudiation
signature not only validates the sender but also time-stamps the transaction, so it cannot be claimed
subsequently that the transaction was not authorised or was not valid. A non-repudiation signature can only be
applied with a valid smart card.
 Select the application in Ready to sign status.
 Click the Next button ("Ready to send" is displayed as the tool-tip).
The application switches to Ready to send status.
 Click the Next button ("Send" is displayed as the tool-tip).
Figure 121: Moving the application to "Send" in the workflow requires the signature for non-repudiation
The prompt to sign for non-repudiation appears.
 Select the type of signature you want: Smart Card or Soft Certificate.
The default setting is Smart Card.
 Enter the PIN code of your smart card.
 Click Sign.
Figure 122: Prompt to sign for non-repudiation
The application is signed for non-repudiation and the sending dialogue appears.
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Sending applications
Once you have added a digital signature to your application it is ready to be sent to the EPO. It has moved from
Ready to sign to Ready to send status.
 In File Manager click on the Ready to send button.
 Select the application you wish to send.
 Click the Next workflow button ("Send" is displayed as the tool-tip).
The next dialogue allows you to verify the selected method of sending.
 Modify the filing option or signing option, if required.
 Ensure that the transmission is going to the location you intend (demo server or production server).
 Click Continue Sending.
Figure 123: Sending application to demo server
 Enter your PIN at the prompt.
Figure 124: Prompt to enter PIN
The application is now sent to the EPO.
A progress indicator lets you know what stage the transmission is at.
Figure 125: Progress indicator while sending application
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Viewing receipts
When the transmission is finished, a prompt appears notifying you that filing has been completed and asking if
you want to view the receipt.
 At the prompt click Yes to see the PDF version of the receipt.
Figure 126: Prompt to view receipt
The acknowledgment of receipt opens in the PDF Viewer. The acknowledgement contains the EPO application
number and is stamped with the exact data and time of receipt.
You can print the receipt by clicking the print icon in the PDF Viewer, or you can save a copy to your PC using
the save icon.
 Click Close to quit the PDF Viewer.
 Any time you want to view a receipt again in Online Filing, just select the application and click View... in the
Info Pane.
-ORSelect View > List of attached documents.
Figure 127: Viewing the acknowledgment of receipt after filing
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Batch sending
Online Filing enables you to send more than one application at the same time.
 Click the Ready to send status button.
 Select the first application you want to send with a click and all other individual applications with CTRL+Click.
-ORSelect the first application and then press SHIFT+Click on the last one to select all of them.
 Click the Next workflow button ("Send" is displayed as the tool-tip).
Figure 128: Applications with "Ready to send" status selected for batch sending
The batch sending process and the process for sending single applications are basically identical save for the
following modifications:
 The warning window and the PIN-entry prompt only appear once.
 The prompt to sign for non-repudiation appears if one of the applications has not yet been digitally signed.
 As each application is being sent, a progress indicator lets you know what stage the transmission is at.
 The window prompting you to view the acknowledgment of receipt does not appear.
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Exporting data from Online Filing
Online Filing provides different functions for exporting data from the File Manager, from the form and from the
Server Manager. Exporting can also be used to reduce database size by archiving and removing applications
that are no longer needed for your current work.
Exporting from File Manager
The export functions in File Manager allow the export of both multiple applications/ templates and individual
items. Three options are available:
 Export Forms - select one or multiple items (EP forms, templates and PCT/RO/101 forms) in the Forms
Export dialogue; see Exporting items (p. 111).
 Export XML to File(s) - select one or multiple items (only EP forms) in one of the File Manager's folders.
Each item is exported as a ZIP file; see Exporting data as XML to ZIP file (p. 114).
 Export XML to Folder(s) - select one or multiple items (only EP forms) in one of the File Manager's folders.
Each item is exported to a new folder; see Exporting data as XML to folder (p. 115).
Exporting from the form view
You can export the last saved status of an application (or a template) that is currently open in the form view.
Exporting from the form is only possible while an application is still in Draft status.
For EP forms, two options are available:
 Export - creates a ZIP file.
 Export XML to folder - exports the data into an existing folder in your file system.
 For PCT/RO/101 forms, please refer to Exporting and importing a form (p. 358) in the section on
PCT/RO/101 or in the online help for form PCT/RO/101.
Exporting from Server Manager
The Export function in Server Manager offers extended filtering and sorting options for preparing the range of
applications to be exported; see Exporting items (p. 417) in the Server Manager section.
 Note that the Export function of Server Manager is not available for data created in the File Manager's demo
mode.
Archiving database content
Keeping a large number of applications in the Online Filing database may eventually affect the system
performance. It is therefore recommended to clear out the folders occasionally by archiving your application data
to other storage locations on your computer system.
Selecting the option Delete items from database after archiving in the Forms Export dialogue removes all
selected applications from Online Filing after backup copies are made; see Deleting items from the database
after archiving (p. 113).
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Exporting items
If you want to export any sent applications, templates, or previously prepared EP and/or PCT forms at the same
time, the recommended procedure is described below.
 In File Manager select Export > Forms from the File menu.
All available applications are shown by default.
 Select the check boxes of the items you wish to export.
 Click OK.
Figure 129: Selecting individual applications for export
Online Filing navigates to the working directory specified for export in User Preferences.
 Navigate to the destination folder you require.
!
Note: Each time you export an application, the Export function creates a new ZIP file and names it
according to the application's user reference. If a ZIP file of the same name already exists in the
export folder, e.g. sample_oppo.zip, the following ZIP files will be named
sample_oppo_001.zip, sample_oppo_002.zip and so on. The same applies if two or more
applications have the same user reference.
 Click OK to confirm the file location.
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Figure 130: Select location for export
 At the Export complete prompt, click OK.
 View the ZIP files in the selected export folder.
An exported ZIP file contains a number of PDF and XML files that have been created internally by Online Filing.
In this example, the ZIP file also contains DAT files that have been generated by the packing and signing
process.
Figure 131: Exported ZIP file contents
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Deleting items from the database after archiving
In order to free up database space, it is recommended to archive submitted applications on a regular basis.
In this example, all Sent applications are marked for archiving. They will be removed from the Online Filing
database.
 Select the Sent folder on the left.
 Click the green check label in the list heading to select all forms.
 Select the option Delete items from database after archiving.
 Click OK and then proceed as described in Exporting items (p. 111).
Figure 132: Select all applications with Sent status for export and deletion from the database
The data can always be imported back into Online Filing via the Import functions of the File Manager or the
Server Manager.
After deleting applications from the database, it is advisable to use the Empty Database function in Server
Manager to clean the database and physically free up the additional space; see Creating a new empty
database (p. 416).
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Exporting data as XML to ZIP file
Individual applications can be exported as XML files in compressed ZIP format. This operation can be carried out
from either the File Manager or directly from an opened form.
 When in File Manager, select the application and select Export > XML to File(s) from the File menu.
-ORWhen in the form, select File > Export.
Online Filing navigates to the working directory specified for export in User Preferences.
 Edit the File name as required.
-
!
If you are exporting from File Manager, the application's user reference is already entered by default.
If you are exporting from the form view, the File name field will be empty.
Note: If the destination folder already contains a ZIP file with the same name, a warning message
will be displayed asking you if you want to replace the existing file.
 Click Save to start exporting.
The file is saved in ZIP format.
Figure 133: Enter file name for exporting XML to ZIP
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Exporting data as XML to folder
Individual applications in Online Filing can be exported as XML files to an external folder. This operation can be
carried out from either the main File Manager interface or directly from the form view.
 From the File Manager, select the application(s) and select File > Export > XML to folder(s).
-ORIn the form, select File > Export XML to folder.
Online Filing navigates to the working directory specified for export in User Preferences.
 Specify the target folder for export.
- If exporting from File Manager, the new folder will be created automatically with the same name as the
application's user reference.
- If exporting from the form view, click Make New Folder and enter a name for this folder. If you do not do
this, the exported files will be stored in the specified destination but will not have a separate sub-folder for
unique identification.
 Click OK to start exporting.
Figure 134: Export application as XML to folder
 Click OK at the Export complete prompt.
!
Note: If the destination folder already contains folders or files with the same names, a warning
message will be displayed asking you whether existing files should be overwritten.
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The new folder now contains XML and PDF files created by Online Filing.
Figure 135: Exported folder containing XML and PDF files
5.5
Importing data into Online Filing
Previously exported applications can be imported back into Online Filing in File Manager or Server Manager and
through the form.
Importing applications generally resets their status to Draft. This means that Online Filing also removes all
signatures or acknowledgements of receipt from re-imported applications which had Ready to send or Sent
status before they were exported. Only when re-imported via the Server Manager do sent applications retain their
Sent status.
Importing via File Manager
The Import function in File Manager allows you to import one application at a time. Importing creates a new draft
and immediately opens the form for editing.
Importing in the form view
You can create a new blank draft form and then import an application which is based on the same procedure.
Note that importing into an opened form will delete any previously entered data.
 This import function is not available for the PCT/RO/101 form.
Importing via Server Manager
The most convenient way to import multiple applications at once is to use the Import function in Server
Manager. For more details, see Importing items (p. 419) in the Server Manager section.
 Note that the Import function of Server Manager is not available for data created in the File Manager demo
mode.
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Importing data as XML from ZIP file
 When in File Manager, select Import > XML from File from the File menu.
-ORWhen in the form, select Import.
Online Filing navigates to the working directory specified for import in User Preferences.
 Select the ZIP file and click Open to start importing.
Figure 136: Import XML from ZIP file
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The Create a New Application window opens.
 Enter a new user reference.
 When importing a PCT application, only unique user references are accepted.
 Select a folder, and then click Create.
Figure 137: Specify reference and folder for imported application
The application then opens in the form view.
 Continue with the application and save your work as you require.
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Importing data as XML from folder
 Select Import > XML from folder from the File menu (in File Manager or in an EP form).
Online Filing initially navigates to the working directory specified for import in User Preferences.
 Select the folder containing the application to be imported.
 Click OK.
Figure 138: Select folder to import application
The Create a New Application window opens.
 Enter a new user reference.
 When importing a PCT application, only unique user references are accepted.
 Select a File Manager folder and click Create.
The application then opens in the form view.
 Continue with the application and save your work as you require.
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6 EP(1001E2K)
EP(1001E2K)
Form EP(1001E2K) is the default form used for requesting the grant of a European patent and examination of the
application under Article 94 EPC. The application can be filed directly to the EPO or via one of the participating
national offices.
More information about the EPC can be found on the EPO website at Law & practice > Legal texts >
European Patent Convention (http://www.epo.org/law-practice/legal-texts/epc.html).
Data input in form EP(1001E2K)
Form EP(1001E2K) is organised into eight sections represented by eight tabs in the navigation bar.
It is recommended to enter the data in the tab sequence given, i.e. starting with the Request tab. Certain options
and conditions in the Documents tab, for instance, are determined by the selections you make in the Request
tab.
Tab
What you can do
Request
Select the filing office, request examination in admissible non-EPO language, select
the procedural language, enter the title of invention, enter details of divisional
application or reference to a previously filed application.
Names
Enter details of applicant(s), representative(s), inventor(s) and authorisations.
States
Designate contracting states and extension states.
Priority
Declare national, regional or international priorities.
Biological Material
Enter details of deposited microorganisms and the depositary institution.
Documents
Attach the specification documents, their translations and other electronic files.
Fee Payment
Enter the mode of payment, select fees according to the appropriate fee schedule.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 139: Filing Office is a mandatory field in the Request tab and is marked with a red triangle
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Elements in Form EP(1001E2K)
Figure 140: Form EP(1001E2K) - Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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EP(1001E2K) Request
Form EP(1001E2K)'s Request tab has three sub-tabs, Request, Divisional and Reference, requiring the
following information:
Request
1.
2.
3.
4.
5.
6.
Filing office
Language in which the request for examination is made
Declaration under Rule 6(4)
Waiver pursuant to Rule 70(2)
Procedural language, i.e. language in which the form is being submitted to the EPO
Filing language, i.e. language in which the attached application is being filed or in which a previous
application has been filed (technical documents)
7. Title of the invention in English, French and German
Divisional
1. Indication that it is a divisional EP application
2. Application number of earlier application
3. Date of filing of earlier application
4. Generation of the divisional application
Reference
1. Declaration that the application is an Article 61(1)(b) application
2. Reference to a previously filed application
3. Data relating to the previously filed application
4. Various options as to how the referenced application is to be used in the procedure
6.1.1
Request details
The basic details relating to an EP(1001E2K) application are entered in the Request sub-tab of the Request
tab.
Filing office
 Select the relevant patent office from the Filing office drop-down list or enter the two letter country code.
This information is mandatory.
 The list of filing offices includes the EPO and all national patent offices that allow online filing with the
EP(1001E2K) procedure.
Language in which the request for examination is made
Applicants who are nationals of an EPC contracting state or who have their residence or principal place of
business in an EPC contracting state can request examination in an official language of that state, if this
language is an admissible non-official EPO language, i.e. if it is not English, French or German (Article 14(4)
EPC).
 If appropriate, tick the check box Request for examination in admissible non-official EPO language.
 Select the relevant language from the drop-down list.
The text "Examination of the application under Art. 94 EPC is hereby requested" is displayed in the selected
language.
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Declaration under Rule 6(4) EPC
The check box for the declaration under Rule 6(4) becomes available if you select one of these options:
 Request for examination in admissible non-official EPO language
 Admissible language of an EPC contracting state (under Filing language of attached or previous
application)
The validation messages in the Request tab (severity level 2) provide further details. If each applicant fulfils the
conditions of Rule 6(4) EPC, then you should tick the corresponding check box intended for the declaration under
Rule 6(4) EPC to enable the Online Filing software to calculate the fee reduction.
Under Rule 6(3) EPC, the EPO grants a reduction in the examination fee and filing fees if applicants referred to in
Article 14(4) EPC belong to one of the following groups specified in Rule 6(4) EPC:
(a) small and medium-sized enterprises (SMEs);
(b) natural persons; or
(c) non-profit organisations, universities or public research organisations.
 To declare that the applicant(s) fulfil the conditions of Rule 6(4), tick the check box The/Each applicant
hereby declares that he is an entity or a natural person under Rule 6(4) EPC.
 When you enter the relevant data in the Names tab, please verify that all applicants fulfil the conditions of
both Article 14(4) EPC and Rule 6(4) EPC; see Applicants (p. 131) for more details.
If the declaration under Rule 6(4) EPC is ticked and all applicants fulfil the conditions of Article 14(4) EPC, then
the reduced fees will become available in the Fee selection sub-tab:
 The examination fee (006) will be reduced by 30%.
 The filing fee (001), the additional divisional fees (522 to 525) and the additional filing fee for the 36th and
each subsequent page (501) will be reduced by 30%.
Waiver pursuant to Rule 70(2)
 If you wish, tick the check box The applicant waives his right to be asked whether he wishes to
proceed further with the application (Rule 70 (2)).
This waiver does not apply until after payment of the examination fee. If you select Automatic debit order
in the Fee Payment tab, fee 006 will be paid automatically. If you select another mode of payment, you
should select fee 006 manually in the Fee selection sub-tab. A validation message to that effect (Severity 3)
is displayed in the Fee Payment tab.
Figure 141: Request for examination in Italian
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Procedural language
At the time of creating a new application, you select the procedural language from the three official languages:
English, French or German.
The application form will be created in this language. However, this setting has no effect on the language of the
Online Filing graphical user interface.
 If required, change the procedural language now by selecting another language from the drop-down list.
Filing language
The filing language is the language in which the attached application is being filed or in which a previous
application has been filed, i.e. it is the language that is used in the technical documents.
Applicants who are nationals of an EPC contracting state or who have their residence or principal place of
business in an EPC contracting state can file their application in an official language of that state, if this language
is an admissible non-official EPO language, i.e. if it is not English, French or German (Article 14(4) EPC).
 Select the Filing language of attached or previous application from one of the three options.
The default option is the selected procedural language.
 Select either Admissible language of an EPC contracting state or Other language to activate the
corresponding drop-down list.
 Select the appropriate language.
Figure 142: Example in which the procedural language is English and the technical documents are in an admissible language
of an EPC contracting state (in this case Italian)
Title of invention
The title must be a clear and concise technical designation of the invention in the procedural language you
selected. It is advisable to supply translations in the other two official languages so that the invention title can be
published in all three languages (Article 14 EPC). If you do not enter any translations, these will be supplied by
the EPO.
 In the Request sub-tab enter the Title of invention in English.
 Please use appropriate upper and lower case letters for the title, i.e. do not enter the text in capital letters.
 Enter the Translation into French and the Translation into German.
!
Note: The sequence in which the fields for the title of the invention and the translations appear will
change if you change the procedural language. You should therefore make sure that each
language version is in the correct field.
Figure 143: Title of the invention in German, English and French
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Divisional application
Divisional applications can only be filed with the EPO. If you selected a different filing office in the Request
sub-tab, you will not be able to enter any data in the Divisional sub-tab.
!
Note: European divisional applications must be filed while the earlier European application is still
pending (Rule 36 EPC).
 Tick the Divisional application check box.
This activates the sub-tab for editing. All fields are mandatory.
 Enter the Application number of earlier application.
 Enter the Date of filing (Art. 80/Rule 40 EPC).
 From the drop-down list next to This divisional application is of the following generation, select the
appropriate option.
 The EPO charges an additional fee as part of the filing fee for divisional applications of the second or any
subsequent generation; see Fee selection (p. 173).
Figure 144: Entering details of divisional application
!
Note: If you change the Date of filing (Art. 80/Rule 40 EPC) in the Divisional sub-tab under the
Request tab, all of the designation states and none of the extension and validation states will be
selected, i.e. the default settings appear and any states previously expressly selected in respect of
the applicant(s) are lost. If this happens, please click the States tab and select the states again as
appropriate. The yellow validation icon in the States tab notifies you of a warning message to this
effect.
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Editing applications created prior to 1 April 2014
Online Filing 5.07 reflects the Rule 36 change from 1 April 2014, so the previous options (mandatory, voluntary
and no communication received) are obsolete.
If you edit or re-import a divisional application that was created with Online Filing 5.06, only the application
number and the filing date of the earlier application are retained in the form. This divisional application is of
the following generation is a new field and it remains empty. A level 1 validation message informs you that
you have to select the generation.
Figure 145: Validation message in a case where the generation of a divisional application has not been selected
Deleting data
 Clear the Divisional application check box.
All data entered is immediately removed from the form.
6.1.3
Reference
In the Request tab's Reference sub-tab, you can make a reference to a previously filed European or
international application.
 Select the check box Reference is made to a previously filed application.
This activates the tab's other fields for editing.
Reference to an application previously filed with the EPO




Select the EPO as the Office where previous application was filed.
Select patent application as the Kind of application.
Enter the Filing date of the previous application.
Enter the EP application number of the previous application into the Application number field in the format
YYnnnnnn.d, i.e. including the check digit.
Figure 146: Reference to a previously filed EP application
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Reference to a previous PCT application




Select the Office where previous application was filed.
Select PCT application as the Kind of application.
Enter the Filing date.
Enter the Application number of the previous PCT application in the format PCT/CCYYYY/nnnnnn or
PCT/CCYY/nnnnn.
 The 2-digit country code (CC) is automatically pre-set in the Application number field when you select
the international office from the drop-down list.
Figure 147: Reference to a previous PCT/US application
Reference to a previous international or national application




Select the Office where previous application was filed.
Select the Kind of application (the available options depend on the office where the application was filed).
Enter the Filing date.
Enter the Application number of the previous application.
 Hints for the correct format of this application number are shown to the right of this field.
Figure 148: Reference to a previous international or national application
Additional options depending on other application-specific data
Figure 149: Additional options in the "Reference" sub-tab
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Reference replaces claims
 Select the check box It is hereby declared that the reference to the previously filed application
also replaces the claims (Rule 57(c)), if applicable.
 Enter the appropriate Number of claims in previous application.
 Enter the Number of claims you intend to pay for (including first 15 claims).
 This indication is exclusively for the purpose of fee calculation. If you do not intend to pay for any claims
with this application, please enter 0 (zero) in this field.
If you do not enter a reference to the claims in the Request tab, you will be notified of this oversight by an error
message in the Documents tab (red validation icon). You can attach a file with claims here or indicate that you
intend to file the claims later; or you reference the claims.
Figure 150: Error message: Claims required
Previous application is the priority document
 Select the check box Previously filed application is also a priority application, if applicable.
The warning (yellow validation icon) in both the Request and Documents tabs indicates that a copy of the
search results required under Rule 141(1) EPC must be provided if not already available to the EPO.
The related document can be attached in the Documents tab; see Additional documents (p. 166).
Figure 151: A copy of the search results must be provided
A copy of the search results does not need to be supplied if it can be assumed that it is available to the EPO.
This is the case if the previous application was filed with the EP, JP, US, AT, GB or KR office (exempted
offices). A message to this effect (grey validation icon) appears.
Figure 152: Earlier applications filed with one of the exempted offices are not required to file search results
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Certified copy
The option A certified copy will be filed later is available if the selected filing office is not the EPO. In this
case, a warning (yellow validation icon) appears, indicating that a certified copy of the previously filed application
must be supplied within two months.
The warning disappears as soon as you select the check box A certified copy will be filed later.
Figure 153: A certified copy of the previously filed application must be supplied
Sequence listing
You can specify that a sequence listing from the previously filed application should be used in the EP procedure.
 Select the check box The description contains a sequence listing in accordance with Rule 30(1)
EPC.
In this case, you can only attach a sequence listing that complies with WIPO Standard ST.25 in the Documents
tab; PDF formats are not allowed; see Sequence listings (p. 163).
Re-establishing rights
The option Re-establishment of rights is active if the date of the earlier application is more than 12 months
but less than 14 months prior to the date of the present filing and you have selected the option Previously filed
application is also a priority application. An appropriate warning (yellow validation icon) indicates that you
must request the re-establishment of rights.
 Select the check box Re-establishment of rights.
You can attach the reasons for re-establishment in the Documents tab (see Additional documents (p. 166)) or
enter the text in the Annotations tab.
Figure 154: Re-establishment of rights must be requested and the fee paid
Art. 61(1)(b) application of earlier application
The option Art. 61(1)(b) application of earlier application is only active if the EPO is selected as the filing
office in the Request tab and the Divisional application option is not selected in the Divisional tab.
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EP(1001E2K) Names
The Names tab of EP(1001E2K) is where you enter details of applicants, representatives and inventors. At least
one applicant is required. Details of the inventor(s) may be filed later.
Adding names
 In the Names tab, click the Add button.
 Select a role from the list.
Figure 155: Options for adding names
 Complete the details in the entry fields on the right or copy a name from the Address Book.
Exchanging names with the Address Book
Online Filing provides an Address Book to help you organise your names and addresses. You can copy
information from the current form to the Address Book or call up existing data from your Address Book.
(1) Storing data entered in the form in the Address Book
 Select a name (e.g. one of the applicants) and click the Copy to Address Book button.
If the data is successfully copied this is indicated in the status bar of the form.
(2) Copying data from the Address Book to the form
 Open the Address Book by clicking the Copy from Address Book button.
 Select the required name.
 Copy the data to the form by clicking the Copy records to form button.
The Address Book closes.
Removing names from the form
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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Applicants
At least one applicant is required for filing. You can designate multiple natural and legal persons as applicants.
The applicant you add to the form first will also be the first-named applicant in the patent application.
 In the Names tab, click the Add button.
 Select either Applicant, Legal or Applicant, Natural from the drop-down list.
 Enter the name and address for the applicant or transfer the data using the Copy from Address Book
button.
 Add more applicants if required by repeating the above procedure.
Figure 156: Details of legal applicant
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Address for correspondence
You can specify a separate address for correspondence with the first-named applicant. You cannot enter an
address for correspondence if you already added a representative and vice versa.
 The address for correspondence must be in an EPC contracting state.
 Select the first-named applicant.
The Address for correspondence check box is unlocked after the mandatory fields for the first-named
applicant have been completed, i.e. First Name, Last Name (or Company), City and Country.
 Check the Address for correspondence option.
Address for correspondence then appears in the list on the left.
 If you selected Address for correspondence, you are required to supply the address in the next step.
A red validation icon in the Names tab notifies you of a validation message to that effect.
Figure 157: A red validation icon is visible if the address for correspondence has not yet been provided
 Click the Add button and select Address from the drop-down list.
 Note that the Representatives options have disappeared from the list.
Figure 158: Adding address for correspondence with the first-named applicant
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The first applicant's name appears under Address for Correspondence on the left and the data entry fields
become available on the right.
 Edit the address information as required.
- For legal applicants, the Company field cannot be edited, whereas for natural applicants Last Name
and First Name are locked.
- If you make changes to the first-named applicant's name after you have added the address for
correspondence, the name in the address for correspondence will be updated accordingly.
- If you delete the first-named applicant, the address for correspondence will also be removed from the
form.
 You can use both the Copy from Address Book button and the Copy to Address Book button to
exchange the address for correspondence data with the Online Filing address book.
Figure 159: Separate address for correspondence with the first-named applicant
Applicant is represented by an employee
If the applicant is a legal person, i.e. a company, this person can be represented by an employee. Like the
address for correspondence, an employee can only be selected as a representative if no other representative
(legal or natural person) has been added to the form.
 Tick the check box [Company] is represented by the following employee acting pursuant to Art.
133(3) EPC.
 Enter Last Name, First Name and Title.
 Enter the General Authorisation number.
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Figure 160: Authorised employee representing the applicant
 The name of this employee will be automatically filled into the Sign Application dialogue and cannot be
modified. Only an employee who is authorised by the applicant under Article 133 EPC is entitled to sign an
application.
Conditions under Article 14(4) EPC for making the declaration under Rule 6(4) EPC
Under Rule 6(3) EPC, the EPO grants a reduction in the examination fee and filing fees if applicants referred to in
Article 14(4) EPC belong to one of the following groups specified in Rule 6(4) EPC:
(a) small and medium-sized enterprises (SMEs);
(b) natural persons; or
(c) non-profit organisations, universities or public research organisations.
If the check box The/Each applicant hereby declares that he is an entity or a natural person under
Rule 6(4) EPC in the Request tab is ticked, the Online Filing software will validate the data that you enter for
the applicants in the Names tab and cross-check these with the languages that you indicated in the Request
tab.
To qualify for the fee reduction, all applicants have to fulfil both the above-mentioned conditions under Rule 6(4)
EPC and the following conditions under Article 14(4) EPC:
 Natural applicants must be nationals of an EPC contracting state having an admissible non-official EPO
language or residents in an EPC contracting state having an admissible non-official EPO language.
 Legal applicants must have their principal place of business in an EPC contracting state having an admissible
non-official EPO language.
 The selected language must be both an official language of the EPC contracting state of at least one of the
applicants and an admissible non-official EPO language (i.e. it must not be English, French or German).
The validation messages in the Request tab and Names tab will tell you how to correct your data if these
conditions are not met.
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Examples
The following examples demonstrate whether the applicants indicated in the Names tab fulfil the conditions of
Article 14(4) or not – always in relation to the languages selected in the Request tab. If the answer is yes, the
applicants can select the declaration under Rule 6(4) in order to get the fee reduction.
1. A company from the Netherlands selects Dutch as the language of the request for examination.
Yes: Dutch is the official language in the Netherlands.
2. A natural person is a Swiss national and selects Italian as the filing language.
Yes: Italian is one of the official languages in Switzerland, along with French and German.
3. A natural person is a national of Italy with residence in the UK and files a request for examination in
Italian.
Yes: Italian is the official language in Italy and the applicant is an Italian national.
4. A company has its principal place of business in the United Kingdom and files the request for examination
in Italian.
No: The UK is an EPC contracting state which does not have an admissible non-official EPO language
and Italian is not an official language in the UK. The applicant does not fulfil the conditions under Article
14(4).
5. The applicants are a company from Poland and a company from Italy. They select Italian as the filing
language.
Yes: Both applicants are from an EPC contracting state and Italian as the official language of Italy is an
admissible non-official EPO language. In this example, the applicants could also choose between Polish
and Italian because both languages are admissible.
6. The applicants are a company from Poland and a company from Germany. They select Polish as the filing
language.
No: Germany is an EPC contracting state which does not have an admissible non-official EPO language.
The applicant from Germany does not fulfil the conditions under Article 14(4).
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Representatives
The Representative option is only active if you did not select the option Address for correspondence with
the first-named applicant. You can add more than one representative.
 Click the Add button.
 Select an option from the list: Representative, Association, Representative, Authorised or
Representative, Legal Practitioner.
 Complete the fields in the Name and Address tab or copy an entry from the Address Book.
 The country must be an EPC contracting state.
Figure 161: Details of representative
Details relating to the representative's authorisation
The Authorisation tab is used to provide details relating to each representative.
 Select the General Authorisation check box.
 Select the relevant option.
 Related documents can be attached in the Documents tab; see Additional documents (p. 166).
Figure 162: Details relating to the general authorisation of the representative
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Inventors
The yellow validation icon indicates that details of the inventor are required, but may be filed later. You can name
any number of inventors.
Applicant is also inventor
One of the applicants is a natural person and also an inventor.
 Select the name of the applicant on the left.
 Select the check box Applicant is also inventor at the bottom of the form.
Figure 163: The applicant is also the inventor
Designating one or multiple inventors
If none of the applicants is a natural person and also inventor, the inventor(s) must be named separately.
 Click the Add button.
 Select Inventor from the list.
-ORPress CTRL+I.
 Complete the fields in the Name and Address tab or copy an entry from the Address Book.
 Select the appropriate option to describe the legal relationship between first-named applicant and inventor.
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Figure 164: Details of inventor
Deceased inventor
 If one of the inventors to be designated is no longer alive, tick the Deceased check box.
All the address fields except the Country field (mandatory) are locked.
Figure 165: Designating a deceased inventor
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Inventor waivers Rule 19(3) and Rule 20(1) EPC
An inventor is entitled to waive both his right to be notified by the EPO under Rule 19(3) EPC and his right to be
mentioned as an inventor under Rule 20(1) EPC.
 Select the inventor concerned.
 Select the required options.
The corresponding validation messages (yellow icon) explain that each waiver must be signed by the inventor
and filed as an additional document.
Figure 166: Options for inventor waivers with corresponding validation messages
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Online Filing automatically generates a PDF document which is pre-filled with the inventor's and applicant's data.
 Open the PDF Viewer; see Viewing attached documents (p. 168).
 Print the waiver using the Print button in the PDF Viewer.
 Have the waiver signed by the inventor.
 Create a new PDF document from the signed waiver.
 Attach the waiver to the application under Additional documents (p. 166) in Form EP(1001E2K).
-ORSubmit it as a subsequently filed document with Form EP(1038E) (p. 214).
Figure 167: Inventor waiver (Rule 20(1) EPC) generated by Online Filing
Public and non-public inventors
In this example, four inventors have been added to the form. One of the inventors has signed the waiver under
Rule 20(1) EPC and is therefore designated as a non-public inventor.
 Note that the waiver under Rule 19(3) EPC is a non-public document in this example, because that waiver is
signed by the same non-public inventor for whom the waiver under Rule 20(1) EPC is being filed.
Online Filing generates two separate Designation of inventor PDF forms: one for the public inventors and one
for the non-public inventors.
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File f1002-1.pdf lists the public inventors.
Figure 168: PDF form 1002-1with designation of public inventors
File f1002-2.pdf lists the non-public inventors.
Figure 169: PDF form 1002-2 with designation of non-public inventors
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EP(1001E2K) States
In the States tab you can designate the countries in which you require patent protection.
 You can specify all contracting states to the EPC in the Designation sub-tab.
 You can specify the extension states you want in the Extension sub-tab.
 You can specify validation states in the Validation sub-tab, where applicable.
The available states displayed in the three sub-tabs are determined by
 your version of the Online Filing software (its release date and whether you have installed any relevant
updates).
 the filing date of the earlier application if your application is a divisional application. The states available are
those which were contracting states, extension states or validation states at the time of filing of the earlier
application.
 the date on which the validation agreement with the national patent office of the relevant state has entered
into force.
 The Validation sub-tab has been introduced in Online Filing version 5.07 in preparation for future
validation states.
For the latest list of EPC contracting states and extension states see the EPO website at About us > European
Patent Organisation > Member states
(http://www.epo.org/about-us/organisation/member-states.html).
!
Note: If you change the Date of filing (Art. 80/Rule 40 EPC) in the Divisional sub-tab under the
Request tab, all of the designation states and none of the extension and validation states will be
selected, i.e. the default settings appear and any states previously expressly selected in respect of
the applicant(s) are lost. If this happens, please click the States tab and select the states again as
appropriate. The yellow validation icon in the States tab notifies you of a warning message to this
effect.
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Designating contracting states
In the Designation tab a list of the contracting states can be found under the heading All states which are
contracting states to the EPC at the time of filing of this application are hereby designated. All
states are automatically selected and cannot be edited.
Figure 170: All contracting states to the EPC designated
If you checked the option Divisional application in the Divisional sub-tab you will see a message to the
effect that the list of states corresponds to the states valid for the earlier application at the time of filing the
divisional application.
Figure 171: Reference to contracting states valid at the time of filing of the earlier application
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Different designations for different applicants
If more than one applicant is entered in the Names tab, you can define the designated states for each one. You
can designate all states for each applicant, or exclude certain states for one or more applicants.
 In the Designation sub-tab select the option Different designations for different applicants.
 Select an applicant from the list.
All states are automatically selected.
 Uncheck those states which you wish to exclude for the selected applicant.
In this example AT, DE and IT have been deselected.
Figure 172: Designating different states for different applicants
 Select another applicant from the list.
All states are once again automatically selected.
 Uncheck the boxes for the states you wish to exclude for the selected applicant.
In this example all the check boxes have been deselected except for AT, DE, IT, MC and MT. MC and MT are
therefore designated for both applicants.
Figure 173: Designating individual states for further applicant
!
Note: Payment of the designation fee means that all contracting states are designated for an
application, regardless of the individual states designated on the form. If you expressly do not wish
to designate one or more specific states for the entire application, you must submit your request in
writing to the EPO. You can attach this document to the application in electronic format; see
Attaching documents (p. 225).
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Extension states
In the Extension sub-tab, select the states with extension agreements to which the patent application filed
should also be extended. Appropriate fees are payable for this extension.
 Click the Extension sub-tab.
 Select the required option and, where appropriate, the individual states required.
 Make sure you also select the extension fees for these states in the Fee Payment tab.
Figure 174: Selecting extension states
6.3.3
Validation states
You can select a validation state once the validation agreement between the EPO and the patent office(s) of that
state has been ratified and has entered into force.
 If applicable, select the appropriate option.
 Select individual states as required.
In the future, validation fees for each individual state will become due. When applicable, you can select the
relevant fees in the Fee selection sub-tab under Fee Payment.
Figure 175: Selecting validation states
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EP(1001E2K) Priority
In the Priority tab of EP(1001E2K) you can give details of the priorities you wish to claim. You can declare more
than one priority.
 Translations of priority documents can be attached in the Documents tab.
 In the Priority tab click the Add button and select National, Regional or International.
 Select the office, the type of application and the filing date.
 Enter the Application Number.
For international and regional priorities the Application Number field offers a pre-set format for the
application number, e.g.:
- PCT/US____/_____ when you select US as the receiving office of the international application:
After the letters US enter the four digits for the year and the six digits of the application number. The
pre-set slash remains in place.
- EP________._ when you select EP as the regional office.
After the letters EP enter eight digits and the check digit for the application number. The pre-set full stop
remains in place.
For national priorities the format (where known) is shown to the right of the Application Number field, e.g.:
- LL YYYY A nnnnnn when selecting IT as the national office. LL stands for the province (e.g. TO for
Torino/Turin), YYYY for the year, A for application (U if utility model is selected in the Kind field), and
nnnnnn for the number.
 When entering national priority numbers you need not be concerned about the correct splitting format
within data strings, i.e. you can use hyphens or commas instead of spaces as the format of the punctuation is
not critical.
 Select the option Re-establishment of rights is hereby requested if the date of filing of the priority
application is between 12 and 14 months prior to the current date.
 Applications should normally be filed within 12 months of the date of filing of the claimed priority. A yellow
validation icon appears if you do not select the option for re-establishment of rights.
 To initiate accelerated processing under the PACE programme, select the option It is not intended to file
a (further) declaration of priority.
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Figure 176: Priority of a regional application with request for re-establishment of rights
!
Note: To complete the priority claim, a certified copy of the previous application containing the
original of the certificate as issued by the receiving authority must be submitted within sixteen
months of the earliest priority date claimed (Rule 53(1) EPC). See also the Decision of the
President of the European Patent Office dated 17 March 2009 on the filing of priority documents,
published in OJ EPO 4/2009, 236-237.
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Filing search results for priority claims
A copy of the search results required under Rule 141(1) EPC for a priority claim does not have to be provided if
the results are already available to the EPO; see also Reference (p. 126).
 If the selected office is not exempted from the obligation to file the search results, a yellow validation icon
appears in the Priority tab.
 If the selected office is exempted from the obligation, a grey validation icon appears. At present (September
2013), these offices are EP, JP, US, AT, GB and KR.
 Click the Choose file button to attach the file with the search results.
The file is renamed PRSR-1.pdf.
The caption on the button changes to Detach file.
 If necessary, click the Detach file button to remove this file and attach a different document for this priority
declaration.
Figure 177: Declaration of national priority, reference to the search results required under Rule 141(1) EPC
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EP(1001E2K) Biological Material
In the Biological Material tab of EP(1001E2K) you can give details pertaining to the biological material used
in/related to by the invention.
 Sequence protocols are attached in the Documents tab.
Details of the deposit of biological material
 Click the Add button and select Biology.
 In the Deposit details sub-tab enter the identification reference.
 Select the Depositary institution from the list (sorted alphabetically).
The data in the name and address field is automatically added.
 The corresponding reference is entered in the accession number field and all you have to do is add your
individual number.
 Under the Further details sub-tab you can attach a copy of the receipt issued by the depositary institution
and other electronic documents.
Figure 178: Details of deposited biological material
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EP(1001E2K) Documents
In the Documents tab of form EP(1001E2K) you can add the mandatory parts of the application as well as other
documents. Various options are available for your documents in the three sub-tabs Specification, Sequence
listings and Additional documents.
In order to file your application, you must attach a description of the invention. The abstract, claims and any
translations required can be filed later.
 The attached documents are copies of the originals. If the original changes and you wish to include the
changes in the patent application, you will need to reattach the document.
File formats
The Online Filing software offers a number of ways of attaching your technical documents in electronic form:
1. Technical documents (description, claims, abstract and drawings) in one or more PDF files
2. Technical documents in XML format or as PatXML files
3. Pre-conversion archive for files in ZIP format
File names
On attachment, all documents are automatically renamed with standard system names, but for ease of
recognition, the original file names are stored in Online Filing and appear later both on the form (next to the
system names) as well as on the confirmation of receipt issued by the EPO.
Attaching documents
 Click the Add button.
A list of the documents which may be attached is shown.
Figure 179: Document types for attached files
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Language of the documents
The default language of the documents is English. Depending on the procedural language selected in the
Request sub-tab and the language of the application, translations into the procedural language may additionally
be requested.
In the example shown, German has been selected as the procedural language. The application itself is in Italian.
The applicant must therefore file the original application documents in Italian along with translations into German.
Figure 180: Attaching documents in another language
Translations may be filed later if required.
 Select the check box A translation will be supplied later on the left-hand side below the list of attached
documents.
The list of documents which may be attached changes accordingly.
Figure 181: Attaching documents in another language - translations to be filed later
Removing documents
 Select the document you want to remove.
 Click the Delete button.
The copy of the file stored in the database is deleted. You can then add new documents again.
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Attaching PDF files
You can attach one or more PDF files to your application as technical documents. For example, you can combine
all components in a single file, create a separate file for each component or attach a number of components to
multiple files. To do this, first attach a file in the Specification sub-tab, then specify the type of document and,
where applicable, enter the page numbers for the individual components.
Example 1 - All technical document components are attached as individual PDF files
 Click the Specification sub-tab in the Documents tab.
 Click the Add button and select the option Technical document(s) in English.
 Navigate to the folder on your computer where you already saved the files.
 Online Filing opens the working directory that was created under Tools > User Preferences in File
Manager.
 Open the folder with a double-click.
 Select the required file.
 Click Open.
Figure 182: Navigating to where the documents you want to attach are saved
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The file is attached and renamed SPECEPO-1.pdf.
 Select the check box for the component you attached (Description, for instance).
The page numbers are automatically entered in the From page: and to: fields.
Figure 183: Description added as a PDF file in the "Specification" sub-tab
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 Attach the next PDF file.
The file is renamed SPECEPO-2.pdf.
 Select the check box for the component you attached (Claims, for instance).
 When attaching claims, enter the additional data in the two mandatory fields:
- Number of claims
- Number of claims you intend to pay for (including first 15 claims).
 This indication is exclusively for the purpose of fee calculation. If you do not intend to pay for any claims
with this application, please enter 0 (zero) in this field.
!
Note: If the number of claims you intend to pay for is lower than the number of claims indicated, a
yellow validation icon will appear in the Documents tab. In this case, please specify the claims for
which you intend to pay by writing a note to the EPO in the Annotations tab.
Figure 184: Claims added – number of claims and number of claims you intend to pay for (including first 15 claims) are entered
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 Repeat the process until all components are attached.
The software automatically recognises and enters all page numbers.
 Select the appropriate check boxes for the attached documents.
 You can only attach Description, Claims or Abstract once; these check boxes are disabled and greyed
out once you have attached a PDF file and you go to attach the next file. However, you can add as many
drawings as you wish.
 Enter additional data for the individual documents:
- If the abstract also contains a drawing: Figure to be Published with Abstract
- If you attach drawings: Number of Drawings
Figure 185: All four technical document components are added as PDF files
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Example 2 - A PDF file with more than one component is attached
 Click the Add button and select the option Technical document(s) in English.
 Attach the required PDF file.
The file is renamed SPECEPO-1.pdf.
 Select the check boxes for those components contained in the file (Description and Abstract, for instance).
 Enter the page numbers in the appropriate fields.
- All pages in the document must be accounted for and there must be no overlaps.
- The order of the individual components is not important, that is, the description does not have to appear
as the first section on page 1 but can be the last section in the document.
- Every element in the attached document must start on a new page.
Claims may be filed later if required.
 Tick the check box It is intended to submit claims later on the left-hand side below the list of attached
documents.
Figure 186: Option to submit claims later selected
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Attaching XML and PatXML files
You can add XML files with the file extension .XML or .PXML. The file extension .PXML indicates that the file
was generated using the PatXML software. XML files generated in accordance with EPO standards contain the
prescribed components: description, claims, abstract and (embedded) drawings, so that no further files need to
be attached. For more information about generating XML documents see Preparing documents for attachment
(p. 91).
 In the Documents tab click the Specification sub-tab.
 Click the Add button and select the option Technical documents in English (XML).
 Go to where your file is stored.
 Select the appropriate file type: PatXML files or XML files.
 Select the required file.
 Click Open.
The file is attached and renamed to application-body.xml.
 If applicable, enter the number of the Figure to be published with abstract.
The number of claims is identified by the software and automatically inserted.
 Enter the number of claims you intend to pay for (including first 15 claims). This data is not
imported from the XML file.
 This indication is exclusively for the purpose of fee calculation. If you do not intend to pay for any claims
with this application, please enter 0 (zero) in this field.
However, the number of figures is identified by the software and automatically inserted.
Figure 187: Attaching technical documents in XML format
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Technical documents in other languages
The options available for adding technical documents depend on the procedural language and the filing language
selected in the Request tab.
Where the language of the technical documents differs from the selected procedural language, each document in
another language must be translated into the procedural language. Various combinations of files are available.
Example 1: Original-language technical documents are attached as a PDF file and the translation is
attached as an XML file
 In the Documents tab, click the Specification sub-tab.
 Click the Add button and select Original in Italian.
 In this example, Italian was selected as the filing language in the Request tab.
 Navigate to your PDF document and attach it.
The file is renamed SPECNONEPO.pdf.
 Enter the number of claims.
 Enter the number of claims you intend to pay for (including first 15 claims).
 This indication is exclusively for the purpose of fee calculation. If you do not intend to pay for any claims
with this application, please enter 0 (zero) in this field.
 Enter the number of figures.
If your document does not have any drawings, enter 0.
 If applicable, enter the number of the Figure to be published with abstract.
Figure 188: Attaching the Italian original
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 Click the Add button again and select Translations into German (XML).
 In this example, German was selected as the procedural language in the Request tab, so a translation of
the original application into German is required.
 Navigate to the XML document containing the translation and add it.
The file is renamed application-body.xml.
Figure 189: Attaching translation into German as XML
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Example 2: Multiple PDF files are attached for originals and translations
You can attach up to two files for documents in the original language, i.e. either a PDF file containing the
complete set of documents (including drawings) or one file with the documents and another with the drawings. If
you would like to attach the drawings separately, we strongly recommend performing the following steps in the
order shown:
 Attach Drawings in Italian.
The file is renamed DRAWNONEPO.pdf.
 Enter the Number of figures.
 Next, select Original in Italian and attach the file.
The file is renamed SPECNONEPO.pdf.
 Enter all additional data.
 The Number of figures field is deactivated if you already attached a file with drawings.
Figure 190: Documents added in the original language
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 To attach the two documents with the translations, select the option Translation of technical
document(s) into German for each document.
 Attach the translated drawings first.
The file is renamed SPECTRANEPO-1.pdf.
 Select the check box for Drawings.
The page numbers are automatically entered in the From page: and to: fields.
 Attach the translated specification.
The file is renamed SPECTRANEPO-2.pdf.
 Select the check boxes for Description, Claims and Abstract and enter the page numbers for the
components.
Figure 191: Documents in Italian and translations in German attached
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Pre-conversion archive
The pre-conversion archive option allows you to add your original documents, before PDF or XML
conversion, in a compressed ZIP format. This may be helpful if you wish to provide the EPO with your original
documents in colour. The documents contained in the ZIP file will not be publicly available nor will they be an
integral part of the visible internal procedural file, but they can be accessed for reference, e.g. in the event of
quality issues.
!
Note: The EPO does not recognise documents as legally binding if they are exclusively filed as
part of a ZIP archive. To be accepted as legally binding filings, the official patent documents must
always be attached in PDF or ST.25 format under the correct document type.
Attaching pre-conversion archive
 In the Documents tab under the Specification sub-tab click on the Add button.
 Select the option Pre-conversion archive.
 Navigate to where you have stored your ZIP file and select it.
 Click Open to add the file.
The file is renamed to OLF-ARCHIVE.zip.
The names of the original files from the attached pre-conversion archive are listed on the right.
Figure 192: Attaching pre-conversion archive
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Sequence listings
For a first filing, sequence listings must always be submitted in computer-readable format in accordance with
WIPO Standard ST.25. If the sequence listing is not available in computer-readable format, you can submit it to
the EPO first in PDF format and subsequently in TXT format, together with an additional fee.
Computer-readable sequence listings can be attached in the following TXT formats:
 Nucleotide and Amino Acid Sequence Listing (.APP or .SEQ)
 ASCII Text (.TXT)
 Archive File Format (.ZIP)
 Click the Sequence Listings sub-tab under Documents.
 Select the check box for The European patent application contains a sequence listing as part of
the description.
This activates the tab's other options for editing.
 A red validation icon appears in the Documents tab, indicating that in order to file your application you must
attach a sequence listing either as a computer-readable file or in PDF format.
Figure 193: A sequence listing must be filed as part of the description
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Sequence listing in computer-readable format
 Select the check box In computer-readable format in accordance with WIPO Standard ST.25.
This deactivates the In PDF format check box.
 Click the Choose file... button.
 Select the appropriate file type.
- Nucleotide and Amino Acid Sequence Listing (.APP or .SEQ)
- ASCII Text (.TXT)
- Archive File Format (.ZIP)
Figure 194: Selecting file type for sequence listing in computer-readable file format
 Navigate to the required file and attach it.
Depending on the format selected, the file is renamed SEQLTXT.app, SEQLTXT.seq, SEQLTXT.txt or
SEQLTXT.zip.
The button's caption changes to Detach file.
Figure 195: Sequence listing in APP format attached
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Sequence listings in PDF format
 You cannot file a sequence listing in PDF format if you selected The description contains a sequence
listing in accordance with Rule 30(1) EPC in the Reference (p. 126) tab under Request. In this case, the
option is deactivated and you can only attach a file in computer-readable format.
 Select the In PDF format check box.
This deactivates the In computer-readable format in accordance with WIPO Standard ST.25 check
box.
 Click the Choose file... button.
 Navigate to the required PDF file and attach it.
The file is renamed SEQLTXT.pdf.
The button's caption changes to Detach file.
Figure 196: Sequence listing in PDF format attached
The warning (yellow validation icon) indicates that the sequence listing has to be filed later in computer-readable
format and an additional fee has to be paid to the EPO.
Figure 197: Warning following the attachment of a sequence listing in PDF format
Changing the sequence listing format
If you attach a PDF document and then decide to replace it with a computer-readable file (or vice versa), proceed
as follows:
 First, clear the check box beside the currently selected format.
This detaches the current file; both options are now available for selection.
 Select the required file format option and attach the corresponding file.
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Additional documents
In the Additional documents sub-tab you can attach all other documents you wish to send to the EPO,
including authorisations, translations of priority documents or other documents.
Example
In this example you are going to add three documents: a translation of the priority documents, an additional
information sheet and the search results for an earlier application.
 Click the New button.
 Navigate to the required PDF file and select it.
 Click Open to attach the file.
 From the Document type list, select the option Translation of priority documents.
The file is renamed PRIOTRAN-1.pdf.
Figure 198: Attaching translation of priority documents as an additional document
 Click the New button again to add the second additional document.
 Navigate to the PDF file and attach it.
 Select <other document> from the Document type list.
The file is renamed OTHER-1.PDF.
 To describe this document, enter the words Additional information sheet in the Type name field.
Figure 199: Attaching additional document with description
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Search results for earlier application
If your application refers to an earlier application which has been declared a priority document, under Rule 141(1)
EPC you must file the search results obtained for said earlier application if they are not already available to the
EPO. The validation message for the yellow validation icon in the Documents tab tells you what to do; see
Reference (p. 126).
 Click the New button.
 Navigate to the PDF file and attach it.
 From the Document Type list select the option Search results required under Rule 141(1) EPC for
previously filed application.
The file is renamed PRSR-REF.pdf.
Figure 200: Adding search results for earlier application
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Viewing attached documents
Use the Preview option to check your application as it appears in print.
 In the tool bar click the Preview button.
-ORSelect Preview from the Tools menu.
The application is shown in the PDF-Viewer.
The attached documents are listed in Section 44 of Form EP(1001E2K) with their original file names. On the left
you can see a list of the files with their respective system names. In this example the form is in German, because
German was selected as the procedural language.
Figure 201: Previewing the application (technical documents section) in the PDF Viewer
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 Click the name of a document to view it in the PDF Viewer. Do the same to view drawings attached as linked
images together with an XML document.
Figure 202: Attached drawings shown in the PDF Viewer
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EP(1001E2K) Fee Payment
In the Fee Payment tab you can select the fees associated with your application and indicate how you wish to
pay them. All fees must be paid in euros.
The fees displayed in the Fee Payment tab reflect the fee schedules located in File Manager > Tools > Fee
Management.
Make use of the Live Update function in Online Filing to ensure that your fee schedule is always up to date. You
will find the most recent fee schedule on the EPO website at Applying for a patent > Online services,
following the link Interactive schedule of fees
(http://www.epoline.org/portal/portal/default/epoline.Scheduleoffees).
Online fee payment
The EPO offers a quick and secure online fee payment service designed for holders of EPO deposit accounts.
For more information, go to the EPO website and navigate to Applying for a patent > Online services >
Online fee payment (http://www.epo.org/applying/online-services/fee-payment.html).
6.7.1
Payment details
In the Payment details sub-tab you can specify the mode of payment and provide details of the account number
and account holder.
You have to specify the mode of payment before you can make a payment. If you do not, no fees will appear in
the form for the EPO, even if you have selected one or more fees in the Fee selection sub-tab.
 Automatic debit order
If you select this option the check boxes in the Fee selection sub-tab are automatically deactivated and the
total amount of the fees is shown as EUR 0.00. The EPO will calculate the amount of the fees payable using
the information you provided in your application and will debit this amount direct from your account. With this
option you cannot select the fees yourself in the form.
 Debit from deposit account
If you choose this mode of payment, the relevant fees will be debited directly from your EPO deposit account.
If you issue a debit order during normal working hours (08.00-18.00 hrs.), you can usually view it under
pending orders within about 30 minutes. The actual deduction from your account will appear 5 to 6 days
later.
 Bank transfer
As of 1 September 2014, all payments in EUR can only be transferred to the EPO's bank account with the
Commerzbank AG in Munich, Germany. The IBAN and BIC codes of the EPO's bank account are supplied
automatically when you select the Commerzbank from the drop-down list.
 Not specified
If you are not sure how you will be paying your fees, you can indicate Not specified.
The grey validation icon in the Fee Payment tab indicates that the mode of payment is required, but may be
specified later.
!
Note: You are not required to enter 28 as the leading digits of the deposit account number, since
these are automatically supplied by the software. Just enter the six remaining digits. If the deposit
account number is not entered correctly, e.g. you enter more than six digits, you will see a red
validation icon in the Fee Payment tab. The corresponding validation message tells you to verify
the deposit account number. The same rule applies to the deposit account number for
reimbursement.
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Debit from deposit account
 Select Debit from deposit account as Mode of payment.
 Enter the deposit account number.
EPO deposit account numbers are made up of eight digits, starting with 28.
 Enter the name of the account holder.
 If you wish to have the fees debited from your account later than the filing date of your application, enter the
date in the Deferred execution date field.
 Hover your mouse pointer over the symbol
to the right of the Deferred execution date field to see the
Important information:
This functionality allows you to indicate explicitly that your payment order is to be executed at a later date
than the submission date.
In this case, the payment date will be deemed to be the deferred execution date, provided that you have
sufficient funds on your deposit account on that date.
Please choose the deferred execution date option only if the fees are to be debited on a future date, as
otherwise the default execution date is the date of receipt.
The deferred execution date can be a maximum of 40 days in the future.
Please ensure that the deferred execution date lies within the time limit set for paying the selected fees.
Please note that any debit orders (standard or deferred execution) can only be revoked until 00.00 hrs CET
on the date of submission (Arrangements for deposit accounts, 7).
Figure 203: Entering payment details for deposit account
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Bank transfer
 Select Bank transfer as Mode of payment.
 Select DE, Commerzbank AG, München from the list.
 This information is mandatory.
The IBAN and BIC codes of the EPO's bank account are supplied automatically.
Figure 204: Selecting bank transfer as mode of payment
Further options
The Fee Payment sub-tab offers some additional options at the bottom of the screen.
 If you wish the EPO to make any reimbursements to a deposit account with the EPO, tick the
corresponding check box.
This option applies to all selected modes of payment. However, if you selected automatic debit order or
debit from deposit account, you are only required to enter an account number here if that number is
different from the account number used for payment.
 Where applicable, enter the EPO deposit account number and supply the account holder's name.
 If you want to request a refund of the search fee, tick the corresponding check box and enter the application
number of the earlier search report.
 If you need additional copies of the documents cited in the European search report, tick the
corresponding check box and enter the number of copies required.
The validation message (yellow icon) informs you that the corresponding fee 055 should also be selected.
You should therefore tick the check box for fee 055 in the Fee selection sub-tab (it is not ticked by default).
Figure 205: Other options for fee payment in Form EP(1001E2K)
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Fee selection
Frequently paid fees such as the Filing fee (001) and the Fee for a European search (002) are
automatically selected and calculated by the software.
Other fees such as extension fees or the fee for additional copies of documents cited in the search
report (055) become applicable based on the selections you make in the form.
The validation messages indicate which fees are to be paid.
Figure 206: Validation messages with information on the fees to be paid
 Tick the check boxes of the fees to be paid.
- The relevant quantity is already entered.
- The amount to pay is automatically calculated.
- The check boxes for fees not applicable in this application are locked.
Figure 207: Selecting fees
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Filtering the fees displayed
You can filter the list of fees by selecting one of the options in the Show list:
 All fees
 Selected fees only: all fees selected for the current application.
The claims fees, 015 and 015e, are selected by default and always locked. The quantity for both fees is
determined by the Number of claims you intend to pay for (including first 15 claims) field in the
Documents tab and cannot be edited in the Fee selection sub-tab.
Selecting the appropriate generation in the Divisional sub-tab immediately triggers the selection of the correct
fee in the Fee selection sub-tab, e.g. Additional fee for 2nd generation (552). This fee cannot be
de-selected.
Figure 208: Showing selected fees only
Changing the fee quantity
The value in the Quantity column can only be edited for the following fees:
 002 - Fee for a European search - Applications filed on/after 01.07.2005
 029 - Certified copy of application; priority document
 055 - Add. copy of docs cited in search report
 501 - Additional filing fee for the 36th and each subsequent page
Editing fee amounts and reductions
If you wish to edit a fee amount or apply a specific reduction, you have to select the Edit fee amounts check
box. If you do so, please note that there will be no automatic fee correction for this application. Depending on
your selected mode of payment, the total amount shown will be debited from your deposit account or is payable
by bank transfer.
 Tick the Edit fee amounts check box.
This activates the Amount EUR and Reduction fields for editing.
 Select the fee you wish to edit.
 Click in the field to be edited, in our example Amount EUR.
 Enter the new amount.
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Figure 209: Selecting the "Edit fee amounts" option and editing the fee
 Click anywhere on the form.
The value in the Amount to pay EUR column and the total amount of the fees are automatically
recalculated.
Figure 210: Edited fee amount and updated fee total
If you want to undo changes to the fee amounts, you can restore the values from the fee table in Online Filing.
 Clear the Edit fee amounts check box.
The original values for all fees are restored in the form.
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EP(1001E2K) Annotations
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Author, Subject and Note fields.
Figure 211: Adding a new note for the EPO
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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7 Euro-PCT(1200E2K)
Euro-PCT(1200E2K)
Euro-PCT(1200E2K) is the form used for entry of an international application into the European phase before the
EPO as designated or elected office.
To file an application via the Euro-PCT procedure it must previously have been filed as an international
application via the PCT route. For more information visit the WIPO website and go to IP Services > PCT >
Legal Texts (http://www.wipo.int/pct/en/texts/).
Data input in form Euro-PCT(1200E2K)
Form Euro-PCT(1200E2K) is organised into seven sections represented by seven tabs in the navigation bar.
It is recommended to enter the data in the tab sequence given, i.e. starting with the EP-Phase tab. Certain
options and conditions in the Documents tab, for instance, are determined by the selections you make in the
EP-Phase tab.
Tab
What you can do
EP-Phase
Select the EPO's role, request examination in admissible non-EPO language, enter
details of the international application, select the ISA and IPEA
Names
Enter changes concerning applicant(s), representative(s) and authorisations named in
the international application.
States
Designate contracting states and extension states.
Biological Material
Enter details of deposited microorganisms and the depositary institution.
Documents
Attach amendments, translations of priority applications and other electronic files.
Fee Payment
Enter the mode of payment, select fees according to the appropriate fee schedule.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 212: The PCT application number is a mandatory field in the EP Phase tab and is marked with a red triangle
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Elements in Form Euro-PCT(1200E2K)
Figure 213: Euro-PCT(1200E2K) - Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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Euro-PCT(1200E2K) EP Phase
The EP Phase tab of Euro-PCT(1200E2K) is where you request examination of your application under
Article 94 EPC.
 For the latest version of the EPC see the EPO website at Law & practice > Legal texts > European
Patent Convention (http://www.epo.org/law-practice/legal-texts/epc.html).
The EP Phase tab contains two sections for entering data:
 Entry into the European phase (EPO as designated or elected office)
 Past Record
7.1.1
Entry into the European phase
 Select the EPO as either designated office or elected office.
Language in which the request for examination is made
Applicants who are nationals of an EPC contracting state or who have their residence or principal place of
business in an EPC contracting state can request examination in an official language of that state, if this
language is an admissible non-official EPO language, i.e. if it is not English, French or German (Article 14(4)
EPC).
 If appropriate, tick the check box Request for examination in admissible non-official EPO language.
 Select the relevant language from the drop-down list.
The text "Examination of the application under Art. 94 EPC is hereby requested" is displayed in the selected
language.
Declaration under Rule 6(4) EPC
The check box for the declaration under Rule 6(4) becomes available if you select the check box Request for
examination in admissible non-official EPO language.
The validation message in the EP Phase tab (severity level 2) provides further details. If each applicant fulfils the
conditions of Rule 6(4) EPC, then you should tick the corresponding check box intended for the declaration under
Rule 6(4) EPC to enable the Online Filing software to calculate the fee reduction.
Under Rule 6(3) EPC, the EPO grants a reduction in the examination fee and filing fees if applicants referred to in
Article 14(4) EPC belong to one of the following groups specified in Rule 6(4) EPC:
(a) small and medium-sized enterprises (SMEs);
(b) natural persons; or
(c) non-profit organisations, universities or public research organisations.
 To declare that the applicant(s) fulfil the conditions of Rule 6(4), tick the check box The/Each applicant
hereby declares that he is an entity or a natural person under Rule 6(4) EPC.
To qualify for the fee reduction, all applicants have to fulfil both the above-mentioned conditions under Rule 6(4)
EPC and the following conditions under Article 14(4) EPC:
 Natural applicants must be nationals of an EPC contracting state having an admissible non-official EPO
language or residents in an EPC contracting state having an admissible non-official EPO language.
 Legal applicants must have their principal place of business in an EPC contracting state having an admissible
non-official EPO language.
 The selected language must be both an official language of the EPC contracting state of at least one of the
applicants and an admissible non-official EPO language (i.e. it must not be English, French or German).
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 Please verify that all applicants, both those already available to the EPO from the international application
and those for whom you indicate changes in the Names tab, fulfil these conditions. For more details, see
Applicants (p. 131) in the Form EP(1001E2K) section.
The reduction in the examination fee (006/006e) is determined by the role(s) selected for the EPO in the Past
Record (p. 181) section:
- 30% if the EPO is the designated office
- 30% if the EPO is the elected office and the IPEA is not the EPO
- 65% if the EPO is the elected office and the IPEA is the EPO.
Waiver, Rule 70(2)
 If the EPO is not selected as the International Searching Authority (ISA) and if appropriate, tick the check box
The applicant waives his right to be asked under Rule 70(2) EPC whether he wishes to proceed
further with the application.
 This waiver does not apply until after payment of the examination fee; see Fee selection (p. 209).
Waiver, Rules 161(1) or (2) and 162
 If applicable, select the option The applicant waives his right to the communication under Rules
161(1) or (2) and 162 EPC.
 This waiver does not apply until after payment of the claims fees. Account holders participating in the
automatic debiting procedure should pay any claims fees due on entry into the European phase using
another permitted mode of payment; see Payment details (p. 207).
Figure 214: Information on entry into the European phase
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Past Record
 Select the language of the international publication from the drop-down list.
This information is mandatory.
 Enter the number of the previous application under PCT application number.
This information is mandatory.
 Enter the PCT publication number and the EP application number where applicable.
 Enter the corresponding international filing date.
-ORSelect the date using the Calendar button.
The international filing date is mandatory and should match the year of the PCT application number.
 If the year of filing is different from the year in the PCT application number, a yellow validation icon is
displayed. You can file your application to the EPO nevertheless, but please ensure that the data you enter is
correct.
 Select the appropriate International Searching Authority (ISA).
This information is mandatory.
 If the EPO is the elected office, select the appropriate International Preliminary Examining Authority
(IPEA).
The default option is IPEA is EPO.
Figure 215: Information on the past record in the EP Phase tab
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Euro-PCT(1200E2K) Names
The Names tab of Euro-PCT(1200E2K) is where you can make changes to applicant and representative details.
You can also specify an extra address for correspondence with the first-named applicant or add a new
representative. You are not required to enter any extra data if there are no changes to either the applicant or the
representative.
Additional information about applicant
 In the Names tab, click the Add button.
 Select Applicant, Legal or Applicant, Natural from the list.
 Enter the details for the applicant or use the Copy from Address Book button.
Figure 216: Applicant details
Removing names from the form
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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Address for correspondence with the applicant
You can specify a separate address for correspondence with the first-named applicant. You cannot enter an
address for correspondence if you have already added a representative and vice versa.
 The address for correspondence must be in an EPC contracting state.
 Select the first-named applicant.
The Address for correspondence check box is unlocked after the mandatory fields for the first-named
applicant have been completed, i.e. First Name, Last Name (or Company), City and Country.
 Check the Address for correspondence option.
Address for correspondence then appears in the list on the left.
 If you selected Address for correspondence, you are required to supply the address in the next step.
A red validation icon in the Names tab notifies you of a validation message to that effect.
 If there is no change of applicant and you just want to add a different address for correspondence, select the
check box The applicant has earlier been recorded by the International Bureau.
 This option becomes available after the option Address for correspondence has been selected.
 Click the Add button and select Address from the drop-down list.
 Note that the Representatives options have disappeared from the list.
Figure 217: Adding address for correspondence with the applicant
The first applicant's name appears under Address for Correspondence on the left, and the data entry fields
become available on the right.
 Edit the address information as required.
- For legal applicants, the Company field cannot be edited, whereas for natural applicants Last Name
and First Name are locked.
- If you make changes to the first-named applicant's name after you have added the address for
correspondence, the name in the address for correspondence will be updated accordingly.
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If you delete the first-named applicant, the address for correspondence will also be removed from the
form.
Figure 218: Address for correspondence with the applicant
 You can use both the Copy from Address Book button and the Copy to Address Book button to
exchange the address for correspondence data with the Online Filing address book.
Applicant is represented by an employee
If the applicant is a legal person, i.e. a company, this person can be represented by an employee. An employee
can only be selected as a representative if no other representative (legal or natural person) has been added to
the form.
 Tick the check box [Company] is represented by the following employee acting pursuant to Art.
133(3) EPC.
 Enter Last Name, First Name and Title.
 Enter the General Authorisation number.
Figure 219: Applicant is represented by an employee
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 The name of this employee will be automatically filled into the Sign Application dialogue and cannot be
modified. Only an employee who is authorised by the applicant under Article 133 EPC is entitled to sign an
application.
Representative
The Representative option is only available if no address for correspondence has been entered and if the
applicant is not being represented by an employee under Article 133(3) EPC.
 The country of the representative must be an EPC state.
 In the Names tab, click the Add button.
 Select an option from the list: Representative, Association, Representative, Legal Practitioner or
Representative, Authorised.
 Complete the details in the entry fields on the right or copy the name from the Address Book.
Figure 220: Representative (association) information entered
Authorisation
The Authorisation sub-tab is used to give details relating to the representative.
 Tick the General Authorisation check box.
 Select the appropriate option.
 Related documents can be attached in the Documents tab; see Additional documents (p. 201).
Figure 221: Entering details of authorisation for representative
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Euro-PCT(1200E2K) States
The States tab of Euro-PCT(1200E2K) is where you designate the countries in which you wish to obtain patent
protection.
The list of states depends on the international filing date entered in the EP Phase tab. For the latest list of EPC
contracting states and extension states see the EPO website at About us > European Patent Organisation
> Member states (http://www.epo.org/about-us/organisation/member-states.html).
!
Note: If you change the international filing date in the EP Phase tab, none of the extension and
validation states will be selected, i.e. the default settings appear and any states previously
expressly selected are lost. If this happens, please click the States tab and select the states again
as appropriate. The yellow validation icon in the States tab notifies you of a warning message to
this effect.
Designation
You do not have to select the designated states. All the contracting states party to the EPC at the time of filing of
the international patent application and designated in the international application are deemed to be designated
(see Article 79(1) EPC).
Figure 222: All contracting states designated
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Extension
 Select the appropriate option.
 If required, select individual states.
 Make sure you also select the extension fees for these states in the Fee Payment tab.
Figure 223: Selection of extension states
Validation
You can select a validation state once the validation agreement between the EPO and the patent office(s) of that
state has been ratified and has entered into force.
 If applicable, select the appropriate option.
 Select individual states as required.
 In the future, validation fees for each individual state will become due. When applicable, you can select the
relevant fees in the Fee selection sub-tab under Fee Payment.
Figure 224: Selecting validation states
!
Note: Under the automatic debiting procedure, extension fees and validation fees will be debited
only for the states indicated here, unless the EPO is instructed otherwise before expiry of the
period for payment.
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Euro-PCT(1200E2K) Biological Material
The Biological Material tab of Euro-PCT(1200E2K) is where you input details of any biological material filed
and give the name the depositary institution.
 The form assumes that the invention relates to and/or uses biological material deposited under Rule 31 EPC.
For the latest version of the EPC see the EPO website at Law & practice > Legal texts > European Patent
Convention (http://www.epo.org/law-practice/legal-texts/epc.html).
Adding biological material details
 In the Biological Material tab, click the Add button and select Biology.
 In the Deposit details sub-tab, enter the Identification Reference.
 Select the Depositary institution from the list.
The Name and Address field data is supplied automatically.
 Enter the depositary institution code followed by your individual number in the Accession number field.
 You can add a copy of the acknowledgment of receipt from the depositary institution or a waiver of the right to
an undertaking from the requester pursuant to Rule 33(2) EPC in the Further details tab.
Figure 225: Deposit details for biological materials
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7.5
7 Euro-PCT(1200E2K)
Euro-PCT(1200E2K) Documents
The Documents tab of Euro-PCT(1200E2K) is where you confirm the documents to be used in proceedings
before the EPO. This is also where you can attach amendments, translations, sequence listings and any
additional documents.
Proceedings
In the Proceedings tab, specify which documents are to be used as a basis for proceedings in addition to the
published international application documents.
 Tick the option Enclosed amendments under Proceedings if you plan to attach amendments.
 You can also file documents with subsequent annotations or highlighted annotations/amendments to
amended technical documents as the document type Amendments with annotations in the Additional
documents (p. 201) tab.
 Select the declaration on the priority documents, if appropriate.
The Use of Test reports option is automatically set and cannot be edited. It is only selected if the options EPO
as designated office and IPEA is EPO were selected on the EP Phase tab.
Figure 226: Options for documents in proceedings
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Amendments and translations
Add amendments and translations for the international application, translations of amendments, translations of
the priority application or translations of the annexes to the international preliminary examination report in the
Amendments and Translations tab.
 Documents containing highlighted annotations/amendments can be attached as Amendments with
annotations in the Additional documents (p. 201) tab.
 Click the Add button.
 Select the appropriate type of document in the list, e.g. Amendments.
The option Amendments only appears if Enclosed amendments has been selected in the Proceedings
sub-tab.
There are various different translation options depending on the data entered in the Request tab on the
role of the EPO (designated or elected office) and on the language of the international application.
Figure 227: Selecting document category for amendments and translations
 Navigate to the PDF file location.
 Select the file and click Open to attach it.
Figure 228: Find and open a PDF file
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 Select the check box for the component you added to the amended document, e.g. Amended claims.
The file is renamed AMSPECEPO-1.pdf. The original file name is displayed for reference. The number of
pages is supplied automatically.
 Repeat the process to attach additional documents, e.g. the translation of the priority application.
Figure 229: Attaching amended claims
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Proceed as follows to attach a PDF file containing multiple components of the international application's
translation:
 Click the Add button and select Translation of international application.
 Attach the PDF file.
The file is renamed SPECTRANEPO-1.pdf.
 Select the check boxes one at a time for the components contained in the file and enter the appropriate page
numbers.
Figure 230: Amended abstract and translations attached
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Document Overview
Enter the number of pages the individual documents contain in the Document Overview tab. If you make
reference to already-published parts of the international application, but do not attach them, please make sure
that the location and number of pages are also entered for these documents.
This information is needed for the purpose of calculating the correct fee because the EPO charges an extra fee
for each page from the 36th onwards.
The Document Overview tab is organised into four sub-tabs:
1. Overview
2. Description
3. Claims
4. Drawings
The document part options in the various tabs differ depending on the role you selected for the EPO (designated
or elected office) and the language of the international application; see Entry into the European phase (p. 179).
Overview
In the beginning, a red validation icon appears in the Documents tab if there are no amendments or translations
attached. The validation messages indicate that information on the relevant documents is mandatory in the
Description and Claims tabs.
Irrespective of the other data, the software calculates a single page by default as the minimum page count.
Figure 231: Overview of documents' pages, one page calculated by default
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Description
In this example, you have made reference to an already-published description.
 Select the check box International application as published.
 Enter the number of pages.
The software automatically calculates the total number of pages - description.
Figure 232: Information on the description
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Claims
The EPO needs the number of patent claims for the purpose of calculating the correct fee. Please include all
claims from both the international application and subsequent amendments.
In this example, you attached a file with amended patent claims in the Amendments and Translations tab.
 Enter the number of claims on entry into the European phase.
 Enter the number of claims you intend to pay for (including the first 15 claims).
 This indication is exclusively for the purpose of fee calculation. If you do not intend to pay for any claims
with this application, please enter 0 (zero) in this field.
!
Note: If the number of claims you intend to pay for is lower than the number of claims indicated, a
yellow validation icon will appear in the Documents tab. In this case, please specify the claims for
which you intend to pay by writing a note to the EPO in the Annotations tab.
 Select the check box Amendments on entry into the European phase and specify the Pages from...
to....
 Enter the number of pages.
The software automatically calculates the total number of pages - claims.
Figure 233: Information on the claims
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Drawings
In this example, you make reference to the drawings in the international application.
 Select the check box International application as published.
 Use the Pages from ... to ... field to specify the location of the drawings in the international application.
 Enter the number of pages.
Figure 234: Information on drawings in the international application
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Total number of pages
 Finally, go to the Overview tab and check if all relevant documents are entered with the correct number of
pages.
In this example, the total number of pages to be examined is 20.
Figure 235: Calculation of the total number of pages in the Document Overview tab
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Sequence listings
The Sequence Listings tab lets you specify whether or not the international application contains nucleotide
and/or amino acid sequences. If a computer-readable sequence listing file has not yet been submitted to the
EPO, please attach the relevant electronic sequence listing here also.
Sequence listings must always be submitted in computer-readable format in accordance with WIPO Standard
ST.25. If the sequence listing is not available in computer-readable format, you can submit it to the EPO first in
PDF format and subsequently in TXT format, together with an additional fee.
Computer-readable sequence listings can be attached in the following TXT formats:
 Nucleotide and Amino Acid Sequence Listing (.APP or .SEQ)
 ASCII Text (.TXT)
 Archive File Format (.ZIP)
 In the Documents tab, click the Sequence Listings sub-tab.
 Select the check box for The international application discloses nucleotide and/or amino acid
sequences.
This activates the associated group of tab options for editing.
Reference to an existing sequence listing
The default setting is The sequence listing was filed under Rule 5.2(a) PCT, or furnished to the EPO
as ISA under Rule 13ter.1a) PCT, or it is otherwise available to the EPO, in computer-readable
format in accordance with WIPO-ST.25.
 If this is selected, there is no need to submit a sequence listing.
The options for attaching files are therefore deactivated.
No error or warning validation icon is on display in the Documents tab.
Figure 236: Reference to the sequence listing already submitted in computer-readable format
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Attaching a sequence listing
 Select the check box The sequence listing is attached.
This activates the other options for editing.
A red validation icon shows in the Documents tab because, in this case, attaching a document is mandatory.
Figure 237: Option for attaching a sequence listing selected
Sequence listings in computer-readable format
 Select the check box In computer-readable format in accordance with WIPO Standard ST.25.
This deactivates the In PDF format check box.
 Click the Choose file... button.
 Select the appropriate file type:
- Nucleotide and Amino Acid Sequence Listing (.APP or .SEQ)
- ASCII Text (.TXT)
- Archive File Format (.ZIP)
 Navigate to the required file and attach it.
Depending on the format selected, the file is renamed SEQLTXT.app, SEQLTXT.seq, SEQLTXT.txt or
SEQLTXT.zip.
The caption on the button changes to Detach file.
Figure 238: Sequence listings in computer-readable format attached
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Sequence listings in PDF format
 Select the In PDF format check box.
This deactivates the In computer-readable format in accordance with WIPO-Standard ST.25 check
box.
 Click the Choose file... button.
 Navigate to the required file and attach it.
The file is renamed to SEQLTXT.pdf.
The caption on the button changes to Detach file.
Figure 239: Sequence listing in PDF format attached
The warning (yellow validation icon) indicates that the sequence listing has to be filed later in computer-readable
format and an additional fee has to be paid to the EPO.
Figure 240: Warning following the attachment of a sequence listing in PDF format
Changing the sequence listing format
If you attach a PDF document and then decide to replace it with a computer-readable file (or vice versa), proceed
as follows:
 First, clear the check box beside the currently selected format.
This detaches the current file; both options are now available for selection.
 Select the required file format option and attach the relevant file.
Declarations
 If the sequence listing you attached is identical to the listing from the international application, select the
check box The sequence listing does not include matter that goes beyond the content of the
application as filed.
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Additional documents
In the Additional Documents tab, attach all other documents that you want to submit to the EPO:





Authorisations
Other documents
Reply to written opinion
Search results required under Rule 141(1) EPC
Amendments with annotations
Authorisations
 Click the Add button.
 Select Other document.
 Navigate to the required PDF file and select it.
 Click Open to attach the file.
 In the Document Type list select General Authorisation or Specific Authorisation.
The document is renamed GENAUTH-1.pdf and SPECAUTH-1.pdf, respectively.
Figure 241: Attaching specific authorisation document
Other documents




Click the Add button and select Other document to attach another document.
Navigate to the required PDF file and attach it.
Select the document type <other document> from the list.
The file is renamed OTHER-1.pdf.
 Enter a description of the document in the Type Name field, e.g. Assignment documents.
Figure 242: Attaching a document for the change of representative as <other_document>
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Replies
Provided it was chosen to act as the IPEA in the EP phase, the EPO considers all amendments filed as a
substantive reply to the written opinion on the international preliminary examination report (IPER).
If the EPO was chosen as the designated office upon entry into the EP phase, the amendments filed under
Article 19 PCT are considered a substantive reply to the written opinion of the International Searching Authority
(ISA).
If you have drafted your own written reply, you can attach it as an additional document.
 Click the Add button.
 Select Reply to written opinion/IPER.
 Navigate to the required file and select it.
 Click Open to attach the file.
The file is renamed REPLYWO-1.pdf.
Figure 243: The reply to the written opinion on the international preliminary examination report (IPER) is attached
Search results
Under Rule 141(1) EPC applicants claiming a priority must on entry into the European phase file a copy of the
search results drawn up by the office of first filing if these results are not already available to the EPO.
 Click the Add button.
 Select Search results required under Rule 141(1) EPC.
 Navigate to the required file and select it.
 Click Open to attach the file.
The file is renamed to PRSR-1.pdf.
Figure 244: Adding search results from the office of first filing
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Amendments with annotations
Use this document category to file documents with subsequent annotations or highlighted
annotations/amendments to amended technical documents:
 Amended claims with annotations
 Amended description with annotations
 Amended drawings with annotations
!
Note: Documents with handwritten amendments are no longer accepted (for exceptions to this rule
see the EPO Official Journal 2013, 603-604)
(http://archive.epo.org/epo/pubs/oj013/12_13/12_6033.pdf).
 Click the Add button.




Select Amendments with annotations.
Navigate to the required file and select it, e.g. the amended drawings with annotations.
Click Open to attach the file.
Select the document type Amended drawings with annotations from the list.
The file is renamed DRAW-HWA.pdf.
Figure 245: Amended document with annotations attached
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Pre-conversion archive
The pre-conversion archive option allows you to add your original documents, before PDF conversion, in a
compressed ZIP format. This may be helpful if you wish to provide the EPO with your original documents in
colour. The documents contained in the ZIP file will not be publicly available nor will they be an integral part of
the visible internal procedural file, but they can be accessed for reference, e.g. in the event of quality issues.
!
Note: The EPO does not recognise documents as legally binding if they are exclusively filed as
part of a ZIP archive. To be accepted as legally binding filings, the official patent documents must
always be attached in PDF or ST.25 format under the correct document type.
Attaching pre-conversion archive
 In the Documents tab under the Amendments and Translations sub-tab, click the Add button.
 Select the option Pre-conversion archive.
 Navigate to your ZIP file and select it.
 Click Open to attach the file.
The file is renamed OLF-ARCHIVE.zip.
The names of the original files from the attached pre-conversion archive are listed on the right.
Figure 246: Pre-conversion archive containing original documents attached
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Previewing attached documents
You can view the list of all attached documents in the form view.
 Click the Preview button in the toolbar.
The application is displayed in the PDF Viewer. The enclosed documents are listed with their original file names
in Section 12 of the form (epf1200.pdf).
All files are listed with their system names on the PDF Viewer's left pane.
 Click on the name of a document in the list to the left to display it in the PDF Viewer.
Figure 247: Attachments in the PDF viewer
The number of claims and information on documents intended for proceedings before the EPO are provided in
section 6 of the PDF form. If a copy of the search results has been attached, this is indicated in section 6.3.
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The various translations attached are listed in section 7.
Figure 248: Number of claims and information on the use of documents in the PDF preview of Form Euro-PCT(1200E)
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7 Euro-PCT(1200E2K)
Euro-PCT(1200E2K) Fee Payment
In the Fee Payment tab you can select the fees associated with your application and indicate how you wish to
pay them. All fees must be paid in euros.
The fees displayed in the Fee Payment tab reflect the fee schedules located in File Manager > Tools > Fee
Management.
Make use of the Live Update function in Online Filing to ensure that your fee schedule is always up to date. You
will find the most recent fee schedule on the EPO website at Applying for a patent > Online services,
following the link Interactive schedule of fees
(http://www.epoline.org/portal/portal/default/epoline.Scheduleoffees).
Online fee payment
The EPO offers a quick and secure online fee payment service designed for holders of EPO deposit accounts.
For more information, go to the EPO website and navigate to Applying for a patent > Online services >
Online fee payment (http://www.epo.org/applying/online-services/fee-payment.html).
7.6.1
Payment details
In the Payment details sub-tab you can specify the mode of payment and provide details of the account
number and account holder.
You have to select a mode of payment before you can pay any fees, even if you have selected one or more fees
in the Fee selection tab.
 Automatic debit order
If you select this option the check boxes in the Fee selection sub-tab are automatically deactivated and the
total amount of the fees is shown as EUR 0.00. The EPO will calculate the amount of the fees payable using
the information you provided in your application and will debit this amount direct from your account. With this
option you cannot select the fees yourself in the form.
 Debit from deposit account
If you choose this mode of payment, the relevant fees will be debited directly from your EPO deposit account.
If you issue a debit order during normal working hours (08.00-18.00 hrs.), you can usually view it under
pending orders within about 30 minutes. The actual deduction from your account will appear 5 to 6 days
later.
 Bank transfer
As of 1 September 2014, all payments in EUR can only be transferred to the EPO's bank account with the
Commerzbank AG in Munich, Germany. The IBAN and BIC codes of the EPO's bank account are supplied
automatically when you select the Commerzbank from the drop-down list.
 Not specified
If you are not sure how you will be paying your fees, you can indicate Not specified.
The grey validation icon in the Fee Payment tab indicates that the mode of payment is required, but may be
specified later.
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Debit from deposit account
 Select Debit from deposit account as Mode of payment.
 Enter the deposit account number.
EPO deposit account numbers are made up of eight digits, starting with 28.
 Enter the name of the account holder.
 If you wish to have the fees debited from your account later than the submission date of your entry into the
European phase, enter the date in the Deferred execution date field.
 Hover your mouse pointer over the symbol
to the right of the Deferred execution date field to see the
Important information:
This functionality allows you to indicate explicitly that your payment order is to be executed at a later date
than the submission date.
In this case, the payment date will be deemed to be the deferred execution date, provided that you have
sufficient funds on your deposit account on that date.
Please choose the deferred execution date option only if the fees are to be debited on a future date, as
otherwise the default execution date is the date of receipt.
The deferred execution date can be a maximum of 40 days in the future.
Please ensure that the deferred execution date lies within the time limit set for paying the selected fees.
Please note that any debit orders (standard or deferred execution) can only be revoked until 00.00 hrs CET
on the date of submission (Arrangements for deposit accounts, 7).
Figure 249: Payment details entered
!
Note: You are not required to enter 28 as the leading digits of the deposit account number, since
these are automatically supplied by the software. Just enter the six remaining digits. If the deposit
account number is not entered correctly, e.g. you enter more than six digits, you will see a red
validation icon in the Fee Payment tab. The corresponding validation message tells you to verify
the deposit account number. The same rule applies to the deposit account number for
reimbursement.
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Further options
The Fee Payment sub-tab offers some additional options at the bottom of the screen.
 If you wish the EPO to make any reimbursements to a deposit account with the EPO, tick the
corresponding check box.
This option applies to all selected modes of payment. However, if you selected automatic debit order or
debit from deposit account, you are only required to enter an account number here if that number is
different from the account number used for payment.
 Where applicable, enter the EPO deposit account number and supply the account holder's name.
 If you need additional copies of the documents cited in the European search report, tick the
corresponding check box and enter the number of copies required.
This option is only available if the EPO was NOT selected as the International Searching Authority (ISA) in
the EP Phase tab.
Figure 250: Other options for fee payment in Form Euro-PCT(1200E2K)
 The validation message (yellow icon) informs you that the corresponding fee 055 should also be selected.
You should therefore tick the check box for fee 055 in the Fee selection sub-tab (it is not ticked by default).
7.6.2
Fee selection
Frequently paid fees are automatically selected and calculated by the software.
The number of claims for calculating the claims fee for the 16th to the 50th claim (015), for example, and
the total number of pages used as the basis for calculating the additional filing fee for the 36th and each
subsequent page (520) are provided in the Document Overview (p. 193) tab.
Other fees such as extension fees or the fee for additional copies of the search report (055) become applicable
based on the selections you make in the form.
The validation messages indicate which fees are to be paid.
Figure 251: Validation messages with information on the fees to be paid
 Tick the check boxes of the fees to be paid.
- The relevant quantity is already entered.
- The amount to pay is automatically calculated.
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The check boxes for fees not applicable in this application are locked.
Figure 252: Selecting fees for payment
Filtering the fees displayed
You can filter the list of fees by selecting one of the options in the Show list:
 All fees
 Selected fees only: all fees selected for the current application.
 The claims fees, 015 and 015e, are selected by default and always locked. The quantity for both fees is
determined by the Number of claims you intend to pay for (including first 15 claims) field in the
Documents tab and cannot be edited in the Fee selection sub-tab.
Changing the fee quantity
The value in the Quantity column can only be edited for the following fees:
 002 - Fee for (supplementary) European search for applications filed on/after 01.07.2005
 002e - Fee for (supplementary) European search for applications filed before 01.07.2005
 055 - Add. copy of docs cited in search report
 121 - Fee for further processing (late performance as of acts R. 71(3))
 122 - Fee for further processing (non-fee-related cases)
 123 - Fee for further processing (late payment of a fee - 50%)
 400 - Surcharge for extension fees
 520 - Additional filing fee for the 36th and each subsequent page - entry into EP phase
Editing fee amounts
If you wish to edit a fee amount or apply a specific reduction, you have to select the Edit fee amounts check
box. If you do so, please note that there will be no automatic fee correction for this application. Depending on
your selected mode of payment, the total amount shown will be debited from your deposit account or is payable
by bank transfer.
 Tick the Edit fee amounts check box.
This activates the Amount EUR and Reduction fields for editing.
 Select the fee you wish to edit.
 Click in the field to be edited, in our example Reduction.
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 Enter the new value.
Figure 253: Editing a fee after selecting the option to edit fee amounts
 Click anywhere in the form.
The value in the Amount to pay EUR column and the total amount of the fees will be automatically
recalculated.
Figure 254: Amount to pay and total amount of the fees updated after editing
If you want to undo changes to the fee amounts, you can restore the values from the fee table in Online Filing.
 Clear the Edit fee amounts check box.
The original values for all fees are restored in the form.
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Euro-PCT(1200E2K) Annotations
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Author, Subject and Note fields.
Figure 255: Adding a new note for the EPO
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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Reusing previous data for filing with Euro-PCT(1200E2K)
You can use an application already sent with the PCT/RO/101 form to create a new application with the
Euro-PCT(1200E2K) form for entry into the regional phase.
 Open File Manager and select the folder where the sent application is saved.
 Click the Sent status button.
 Select the required application - the PCT application number is displayed in the App.number column.
 Right-click to select the option Reuse data for a subsequent filing.
Figure 256: Creating a new application for entry into the European phase (Euro-PCT(1200E2K) form) using a PCT application
already sent
The Create a New Application window opens. Enter a new user reference of your choice or use the existing
one. The Euro-PCT(1200E2K) form then opens with the following data from the PCT application previously sent:
 PCT application number and international application date
 Designated office and international searching authority (ISA)
 Name of the first applicant
 Name of the first representative
 Language of filing of the international application
Make your amendments or enter new data and save the application. Once the application has been successfully
sent, it appears in File Manager with the same PCT application number.
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8 EP(1038E)
EP(1038E)
Form EP(1038E) is used for submitting documents filed subsequently in the European patent procedure and for
other purposes:
 All subsequently filed documents should be submitted using Form EP(1038E), except within the opposition
procedure, when they should be submitted with Form EP(Oppo) (p. 243).
 Form EP(1038) can be used to submit an appeal and/or documents filed subsequently in appeal proceedings.
 The authenticity of documents filed in appeal proceedings (Articles 106 to 112a EPC) must be confirmed
by means of the enhanced electronic signature of a person authorised to act in those proceedings.
 At present, the online filing option is not available for priority documents, with the exception of US certified
priority documents.
 Non-public documents can be filed with Form EP(1038E). Please note that non-public documents may not be
filed at the same time as any other documents, i.e. public documents, or when paying a fee other than fee
code 025, 026, 027, 029 or 080.
 If you want to file documents subsequently for an application already sent using the EP(1001E2K) procedure
in Online Filing, you can re-use this data directly; see Reusing previous data for filing with EP(1038E)
(p. 242).
 You can use Form EP(1038E) exclusively either to pay a fee or to supply further information to the EPO in the
form of an annotation.
Minimum requirements for subsequent filing with Form EP(1038E)
When filing with Form EP(1038E), at least one of the following actions must be performed:
1. attach a document
2. indicate a payment
3. write an annotation.
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Data input in Form EP(1038E)
Form EP(1038E) is organised into five sections represented by five tabs in the navigation bar.
It is recommended to decide on the general type of the submission first, i.e. public or non-public, and then
proceed with attaching corresponding documents and selecting fees.
Tab
What you can do
Application No
Enter the EP application number to which this subsequently filed data belongs.
Names
Enter details on applicant or representative.
Documents
Attach the subsequently filed documents.
Fee Payment
Enter the mode of payment, select a fee schedule and select fees.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 257: The Deposit account number is a mandatory field in the Fee Payment tab and is marked with a red triangle
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Elements in Form EP(1038E)
Figure 258: Form EP(1038E) - Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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8 EP(1038E)
EP(1038E) Application Number
The Application No tab of EP(1038E) is where you enter the EP application number.
The red validation icon in the tab indicates that this information is mandatory.
 Enter your EP application number in the field provided.
Figure 259: Sample EP application number
An EP application number is made up of 8 digits and 1 check digit. A check digit contains an algorithm that
verifies the other numbers entered and prevents you from entering invalid application numbers.
Once a correct application number has been entered, the validation icon in the tab will disappear.
8.2
EP(1038E) Names
The Names tab of EP(1038E) is where you add details for an applicant or a representative. The grey validation
icon indicates that it is recommended that you enter at least one name for correspondence.
 Form EP(1038E) only allows you to enter one single name.
Adding a name
 In the Names tab, click the Add button.
 Select a role from the list, e.g. Applicant, Legal.
Figure 260: Adding a name
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 Once a role has been selected, the Add button becomes unavailable, as only one name may appear on the
form.
 Enter name and address or copy an entry from the Address Book.
 If applicable, select the option [Company] is represented by the following employee acting
pursuant to Art. 133(3) EPC and enter details for the applicant's employee.
 The name of this employee will be automatically filled into the Sign Application dialogue and cannot be
modified. Only an employee who is authorised by the applicant under Article 133 EPC is entitled to sign an
application.
Figure 261: Applicant's details filled in
Removing names from the form
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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8 EP(1038E)
EP(1038E) Documents
The Documents tab of EP(1038E) is where you attach documents subsequent to your original filing. Please find
a list of all document types currently allowed for filing with EP(1038E) in section Document types for EP(1038E)
by category (p. 219).
Initially there is a red validation icon on the Documents tab. However, if you select an option in the Fee
Payment tab, the validation icon for the Documents tab disappears, since in this case no document is
necessary.
 Form EP(1038E) may not be used for the PCT patent grant procedure. Please use Form PCT-SFD for filing
documents subsequent to a PCT application.
8.3.1
Document types for EP(1038E) by category
Where available, please select the correct document type for your file attachments. This simplifies and speeds up
the internal processing of the EPO's filings. If you are unable to find an appropriate document type in the
EP(1038E) drop-down list, you can select the general purpose General enquiry document type from the
Search and Examination or the All Documents category.
The most frequently used general categories appear at the top of the list, whereas the lesser used, more specific
options appear at the bottom. The All Documents category in the bottom section lists all available document
types.
!
Note: In this list, a single document type may be assigned to multiple categories to facilitate your
selection.
Top section
Filing and search
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Amended claims (clean copy)
Amended claims with annotations
Amended description (clean copy)
Amended description with annotations
Amended drawings (clean copy)
Amended drawings with annotations
Amendments before examination
Designation of inventor
Designation of inventor (non-public)
Document concerning search matters
Document concerning the priority claims
Drawings
Inventor waiver – Rule 19(3) EPC
Inventor waiver – Rule 19(3) EPC (non-public)
Inventor waiver – Rule 20(1) EPC (non-public)
Missing parts of description
Missing parts of drawings
Modified abstract
Reply to request for clarification
Reply to search opinion/written opinion/IPER
Request for extension of time limit during search procedure
Search results required under Rule 141(1) EPC
Statement of non-availability of search results required under Rule 141(1) EPC
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Subsequently filed claims
Translation of previously filed application
Translation of priority document
Translation of the international preliminary examination report
US certified priority document
Search and examination
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Acknowledgement
Authorisation of representative
Automatic debiting
Claims
Document concerning fees and payments
Document concerning micro-organisms and medical inventions
Document concerning representation
Document concerning sequence listing, PDF
Document concerning sequence listing, TXT
Document concerning the applicant
Document concerning the designation and extension of states
Document concerning the inventorship
English translation of the claims
French translation of the claims
General enquiry
German translation of the claims
Grounds for re-establishment of rights
Letter relating to the search and examination procedure
Maintenance of the application
Request for a decision
Request for assignment
Request for change of address
Request for change of name
Request for change of representative
Request for correction of the documents (Rule 139 EPC)
Request for further processing
Request for re-establishment of rights
Request for suspension/interruption of the procedure
Request for transfer of rights
Translation of description
Translation of text in drawings
Translation of priority document
Translation of the abstract
Waiver in respect of communication under Rule 161/162 EPC
Withdrawal of an application
Withdrawal of designated or extension states
Examination
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Document filed during examination procedure
Letter dealing with oral proceedings
Reply to a communication under Rule 70b EPC
Reply to examination report
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Reply to the communication under Rule 71(3) EPC
Request for correction/amendment of the text proposed for grant sent from 01.04.2012
Request for correction/amendment of the text proposed for grant sent until 31.03.2012
Request for examination
Request for extension of time limit during examination procedure
Withdrawal of a request for oral proceedings
Non-public
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Designation of inventor (non-public)
Inventor waiver – Rule 19(3) EPC (non-public)
Inventor waiver – Rule 20(1) EPC (non-public)
Medical certificate
Non-public annex
PPH: documents for examination
PPH: documents for search
Request for accelerated search/examination
Request for certified copies of the application
Request for inspection of the file
Request for participation in the Patent Prosecution Highway
Appeal
 The authenticity of documents filed in appeal proceedings (Articles 106 to 112a EPC) must be confirmed by
means of the enhanced electronic signature of a person authorised to act in those proceedings.
 Amended claims with annotations (appeal procedure)
 Amended description with annotations (appeal procedure)
 Amended drawings with annotations (appeal procedure)
 amicus curiae (statement by third parties in the proceedings before the Enlarged Board of Appeal in
accordance with Art. 10 RPEBA)
 Annexes (other than cited documents) regarding appeal procedure
 Annexes (other than cited documents) regarding review procedure
 Cited documents during appeal procedure
 Claims (appeal procedure)
 Description (appeal procedure)
 Drawings (appeal procedure)
 Evidence in support of the appeal
 Grounds for re-establishment of rights (appeal procedure)
 Incoming letter in referral procedure
 Intervention of the assumed infringer
 Letter dealing with oral proceedings during the appeal procedure
 Letter relating to appeal procedure
 Letter relating to the review procedure
 Non-patent literature cited during the appeal procedure
 Non-patent literature filed by a third party during the appeal procedure
 Notice of appeal
 Observations by third parties (Art. 115 EPC) during the appeal procedure
 Oral proceedings: request for postponement (appeal procedure)
 Patent document cited during the appeal procedure
 Patent document filed by a third party during the appeal procedure
 Reply to appeal
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Request for extension of time limit during appeal procedure
Request for further processing (appeal procedure)
Request for interpreters during oral proceedings (appeal procedure)
Request for oral proceedings (appeal procedure)
Request for re-establishment of rights (appeal procedure)
Statement of grounds of appeal
Translation of statement of grounds of appeal
Translation of notice of appeal
Withdrawal of a request for oral proceedings (appeal procedure)
Withdrawal of an appeal
Third-party observations
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Citations filed by a third party
Non-patent literature filed by a third party
Observations by third parties (Art. 115 EPC)
Patent document filed by a third party
Reply from applicant/patentee regarding third party observations
Reply to communication to third party
Limitation and revocation
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Citation for the limitation procedure
Letter regarding the translation of the limited claims
Letter/request relating to the limitation request
Letter/request relating to the revocation procedure
Reply to the limitation report
Request for revocation of patent
Withdrawal of limitation request
Bottom section
All documents
Amendments
 The "with annotations" document type is to be used for amended documents with annotations or highlighted
annotations/amendments. Documents with handwritten amendments are no longer accepted (for exceptions to
this rule see the EPO Official Journal 2013, 603-604)
(http://archive.epo.org/epo/pubs/oj013/12_13/12_6033.pdf).
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Amended claims (clean copy)
Amended claims with annotations
Amended description (clean copy)
Amended description with annotations
Amended drawings (clean copy)
Amended drawings with annotations
Amendments before examination
Drawings
Modified abstract
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Applicant-representative-inventor
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Designation of inventor
Designation of inventor (Non-public)
Document concerning representation
Document concerning the applicant
Documents concerning the inventorship
Inventor waiver – Rule 19(3) EPC
Inventor waiver – Rule 19(3) EPC (non-public)
Inventor waiver – Rule 20(1) EPC (non-public)
Biology
 Document concerning micro-organisms and medical inventions
 Document concerning sequence listing, PDF
 Document concerning sequence listing, TXT
 Use this document type for files in TXT, APP or SEQ format.
Fees
 Automatic debiting
 Document concerning fees and payments
 Document concerning the designation and extension of states
Filing
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Missing parts of description
Missing parts of drawings
Subsequently filed claims
Translation of previously filed application
Forms
 Authorisation of representative
 Designation of inventor
Legal Remedies
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Grounds for Re-establishment of Rights
Request for a decision
Request for further processing
Request for Re-establishment of Rights
Other
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Document concerning search matters
Letter dealing with Oral proceedings
Letter relating to the search and examination procedure
Withdrawal of a request for oral proceedings
Priorities
 Document concerning the priority claims
 Translation of priority document
 US certified priority document
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Replies
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Acknowledgement
Claims
Document filed during examination procedure
Reply to a communication under rule 70b EPC
Reply to examination report
Reply to request for clarification
Reply to search opinion/written opinion/IPER
Reply to the communication under rule 71(3) EPC
Request for correction/amendment of the text proposed for grant sent from 01.04.2012
Request for correction/amendment of the text proposed for grant sent until 31.03.2012
Search results required under Rule 141(1) EPC
Statement of non-availability of search results required under Rule 141(1) EPC
Request
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General enquiry
Maintenance of the application
Request for assignment
Request for certified copies of the application
Request for change of address
Request for change of name
Request for change of representative
Request for correction of the documents (Rule 139 EPC)
Request for examination
Request for extension of time limit during examination procedure
Request for extension of time limit during search procedure
Request for suspension/interruption of the procedure
Request for transfer of rights
Waiver in respect of communication under Rule 161/162 EPC
Translations
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English translation of the claims
French translation of the claims
German translation of the claims
Translation of description
Translation of previously filed application
Translation of priority document
Translation of text in drawings
Translation of the abstract
Translation of the international preliminary examination report
Withdrawals
 Withdrawal of an application
 Withdrawal of designated or extension states
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8.3.2
8 EP(1038E)
Attaching documents
 In the Documents tab of EP(1038E), click the Add button.
 Navigate to the storage location of your file.
 Note this special case: If you want to attach a sequence listing file, change the option in the files of type
drop-down list from Portable Document Format (default) to ASCII Text (for a sequence listing in TXT
format) or Nucleotide and Amino Acid Sequence Listing (for a sequence listing in APP or SEQ format).
 Select the file and click Open.
Figure 262: Selecting document for attachment
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The file is attached to the application under its original file name.
 Select the appropriate document category from the Category drop-down list.
Figure 263: Selecting category for attached document
 Select the appropriate document from the Document type drop-down list.
Figure 264: Selecting document type from the selected category
The file is renamed to the Online Filing default file name.
Figure 265: The attached document is renamed to the default OLF file name
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Example: Designation of contracting states is withdrawn
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Click the Add button.
Navigate to your file and attach it.
Select the Withdrawals category.
In the Document type list, select the option Withdrawal of designated or extension states.
Figure 266: Request for withdrawal of designated or extension states
The document is renamed WDRADEST-1.pdf. The original file name is displayed for reference.
 Repeat the process for additional documents if you want to withdraw multiple designated states.
Figure 267: Withdrawal documents attached
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Filing non-public documents
The Online Filing software lets you submit documents in non-public proceedings to the EPO.
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Note: You can only attach either public or non-public documents to Form EP(1038E). If you attach
non-public documents, you cannot select a fee which is only applicable for public submissions.
Please use separate forms for public and non-public submissions to the EPO.
Click the Add button.
Navigate to your file and attach it.
Select the Non-public category.
In the Document type list, select the appropriate document type, e.g. Request for accelerated
search/examination.
 The file is renamed 1005.pdf.
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Figure 268: Request for accelerated search/examination attached as non-public document
If, after having attached your non-public document, you proceed to attach one of the files from the assortment of
public document types, a red validation icon appears on the Documents button. The validation message
explains the error.
Figure 269: Validation message after attaching public and non-public documents
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8.3.4
8 EP(1038E)
Filing appeal documents
You can use the Online Filing software to file a notice of appeal and submit documents in appeal proceedings to
the EPO.
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Note: You can only attach either appeal documents or non-appeal documents to Form
EP(1038E). If you want to attach an assortment of documents, please send two separate forms.
Click the Add button.
Navigate to your file and attach it.
Select the Appeal category.
In the Document type list, select the appropriate document type, e.g. Statement of grounds of appeal.
The file is renamed APPEAL-GRDS-1.pdf.
Figure 270: Statement of grounds of appeal attached under the appeal document category
If, after having attached your appeal document, you then attach one of the other document types, a red validation
icon appears on the Documents button. The validation message explains the error.
Figure 271: Validation message after attaching appeal and non-appeal documents
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8.3.5
8 EP(1038E)
Viewing attached documents
 Click the Preview button in the toolbar.
This opens the PDF Viewer.
 Click a file name in the list on the left of the screen to display the attached file in PDF format.
The example below shows two subsequently filed non-public documents.
Figure 272: Attached files in the PDF Viewer
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8.4
8 EP(1038E)
EP(1038E) Fee Payment
Select the fees that you want to subsequently pay for the application on the EP(1038E) form's Fee Payment tab
and specify the mode of payment. The currency for all fees is EUR.
!
Note: If the date of filing or of entry into the regional phase of your application is earlier than
1 April 2009 it is your responsibility to ensure that you have selected the correct schedule of fees
for the application; see Payment details (p. 231).
The fees displayed in the Fee Payment tab reflect the fee schedules located in File Manager > Tools > Fee
Management.
Make use of the Live Update function in Online Filing to ensure that your fee schedule is always up to date. You
will find the most recent fee schedule on the EPO website at Applying for a patent > Online services,
following the link Interactive schedule of fees
(http://www.epoline.org/portal/portal/default/epoline.Scheduleoffees).
Online fee payment
The EPO offers a quick and secure online fee payment service designed for holders of EPO deposit accounts.
For more information, go to the EPO website and navigate to Applying for a patent > Online services >
Online fee payment (http://www.epo.org/applying/online-services/fee-payment.html).
8.4.1
Payment details
In the Payment details sub-tab you can select a mode of payment and the schedule of fees applicable to your
application.
Mode of payment
 Select an option from the Mode of payment list.
 Automatic debit order
If you select this option the check boxes in the Fee selection sub-tab are automatically deactivated and the
total amount of the fees is shown as EUR 0.00. The EPO will calculate the amount of the fees payable using
the information you provided in your application and will debit this amount direct from your account. With this
option you cannot select the fees yourself in the form.
 Debit from deposit account
If you choose this mode of payment, the relevant fees will be debited directly from your EPO deposit account.
If you issue a debit order during normal working hours (08.00-18.00 hrs.), you can usually view it under
pending orders within about 30 minutes. The actual deduction from your account will appear 5 to 6 days
later.
 Bank transfer
As of 1 September 2014, all payments in EUR can only be transferred to the EPO's bank account with the
Commerzbank AG in Munich, Germany. The IBAN and BIC codes of the EPO's bank account are supplied
automatically when you select the Commerzbank from the drop-down list.
 Not specified
If you are not sure how you will be paying your fees, you can indicate Not specified.
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Debit from deposit account
An EPO deposit account is required to use the options Automatic debit order or Debit from deposit
account.
 Enter the number of your deposit account and the name of the account holder.
EPO deposit account numbers are made up of eight digits, starting with 28.
!
Note: You are not required to enter 28 as the leading digits of the deposit account number, since
these are automatically supplied by the software. Just enter the six remaining digits. If the deposit
account number is not entered correctly, e.g. you enter more than six digits, you will see a red
validation icon in the Fee Payment tab. The corresponding validation message tells you to verify
the deposit account number. The same rule applies to the deposit account number for
reimbursement.
 If you wish to have the fees debited from your account later than the submission date, enter the date in the
Deferred execution date field.
 Hover your mouse pointer over the symbol
to the right of the Deferred execution date field to see the
Important information:
This functionality allows you to indicate explicitly that your payment order is to be executed at a later date
than the submission date.
In this case, the payment date will be deemed to be the deferred execution date, provided that you have
sufficient funds on your deposit account on that date.
Please choose the deferred execution date option only if the fees are to be debited on a future date, as
otherwise the default execution date is the date of receipt.
The deferred execution date can be a maximum of 40 days in the future.
Please ensure that the deferred execution date lies within the time limit set for paying the selected fees.
Please note that any debit orders (standard or deferred execution) can only be revoked until 00.00 hrs CET
on the date of submission (Arrangements for deposit accounts, 7).
Figure 273: Selecting mode of payment
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Selecting the correct fee schedule
The fee schedule shown in Form EP(1038) depends on the date of filing or entry into the regional phase of the
patent application to which this subsequently filed application belongs.
 Select the appropriate fee schedule option.
- (a) Date of filing or entry into regional phase on or after 01.04.2014
This is the default option.
- (b) Date of filing or entry into the regional phase from 01.04.2009 to 31.03.2014 inclusive
- (c) Date of filing or entry into the regional phase before 01.04.2009 or Euro-PCT application with date of
filing or earliest priority before 01.09.2006
Declaration under Rule 6(4) EPC
The check box for the declaration under Rule 6(4) EPC is available if the option Date of filing or entry into
the regional phase on or after 01.04.2014 is selected.
Applicants who are nationals of an EPC contracting state or who have their residence or principal place of
business in an EPC contracting state can request examination or file their application in an official language of
that state, if this language is an admissible non-official EPO language, i.e. if it is not English, French or German
(Article 14(4) EPC). They can also file their request subsequently using Form EP(1038E).
Under Rule 6(3) EPC, the EPO grants a reduction in the examination fee and filing fees if applicants referred to in
Article 14(4) EPC belong to one of the following groups specified in Rule 6(4) EPC:
(a) small and medium-sized enterprises (SMEs);
(b) natural persons; or
(c) non-profit organisations, universities or public research organisations.
 To declare that the applicant(s) fulfil the conditions of Rule 6(4), tick the check box The/Each applicant
hereby declares that he is an entity or a natural person under Rule 6(4) EPC.
 To select the reduced fees applicable to your application, go to the Fee selection sub-tab.
The Fee selection (p. 234) sub-tab displays the standard fees and the optional extra fee options with either
a 30% or 65% reduction.
Figure 274: Options for selecting the correct fee schedule
Further options
The Fee Payment sub-tab offers some additional options at the bottom of the screen.
 If you wish the EPO to make any reimbursements to a deposit account with the EPO, tick the
corresponding check box.
This option applies to all selected modes of payment. However, if you selected automatic debit order or
debit from deposit account, you are only required to enter an account number here if that number is
different from the account number used for payment.
 Where applicable, enter the EPO deposit account number and supply the account holder's name.
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8.4.2
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Fee selection
There is no fee selected by default in Form EP(1038E).
 Tick the check boxes of the fees to be paid.
The total fee amount is automatically calculated.
Filtering the fees displayed
You can filter the list of fees by selecting one of the options in the Show list:
 All fees
 Selected fees only
Figure 275: Selecting fees
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Applying fee reductions
If the declaration under Rule 6(4) check box in the Payment details sub-tab is ticked, the extra fees
reduced by 30% or 65% are displayed in the fee selection table.
 The 30% reduction applies to:
- 001r - Filing fee - EP direct - online
- 001er - Filing fee - EP direct - not online
- 006r1 - Examination fee - For applications filed on/after 01.07.2005
- 006er1 - Examination fee - For applications filed before 01.07.2005 and for international applications filed
on/after 01.07.2005 without supplementary European search report
- 501r - Additional filing fee for the 36th and each subsequent page
- 552r - Additional fee for divisional 2nd generation
- 553r - Additional fee for divisional 3rd generation
- 554r - Additional fee for divisional 4th generation
- 555r - Additional fee for divisional 5th or subsequent generation
 The 65% reduction applies to:
- 006r2 - Examination fee - For applications filed on/after 1.07.2005
- 006er2 - Examination fee - For applications filed before 01.07.2005 and for international applications filed
on/after 01.07.2005 without supplementary European search report
You can combine both standard fees and reduced fees in one application, provided that you, the applicant(s),
fulfil the conditions for fee reduction under Article 14(4) and Rule 6(4) EPC. However, if you select a specific
reduced fee, all other fee options for this fee, e.g. the examination fee, are locked.
 Select the reduced fees individually as appropriate.
Figure 276: Selecting reduced fees for applicants under Rule 6(4)
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Selecting fees when filing non-public documents
When attaching non-public documents to your application, only certain fees can be selected at the same time.
These are:
 025 - Duplicate copies of the patent certificate
 026 - Extracts from the Europ. Patent Register
 027 - Inspection of files (paper copies max. 100 pgs, electr. storage medium)
 029 - Certified copy of application; priority document
 080 - Certification of other documents
For all other fees, a separate submission is required. If you select a fee that is incompatible with non-public
filings, a red validation icon will appear in the Documents tab.
Changing the fee quantity
The value in the Quantity column can be edited for the following fees:
 002 - Fee for (supplementary) European search for applications filed on/after 01.07.2005
 002e - Fee for (supplementary) European search for applications filed before 01.07.2005
 005 - Designation fee (for applications filed before 01.04.2009)
 008 - Printing fee for 36th and each subsequent page
 015 - Claims fee for the 16th to the 50th claim (for applications filed on/after 01.04.2009) / for the 16th and
each subsequent claim (for applications filed before 01.04.2009)
 015e - Claims fee - For the 51st and each subsequent claim
 016 - Claims fee in accordance with R. 71(4) - For the 16th to the 50th claim (for applications filed on/after
01.04.2009) / Claims fee in accordance with R. 71(4) (for applications filed before 01.04.2009)
 016e - Claims fee in accordance with R. 71(4) - For the 51st and each subsequent claim
 025 - Duplicate copies of the patent certificate
 029 - Certified copy of application; priority document
 055 - Add. copy of docs cited in search report
 121 - Fee for further processing (late performance as of acts R. 71(3))
 122 - Fee for further processing (non-fee-related cases)
 123 - Fee for further processing (late payment of a fee - 50%)
 400 - Surcharge for extension fees
 501 - Additional filing fee for the 36th and each subsequent page
 501r - Additional filing fee for the 36th and each subsequent page (30% reduction)
 520 - Additional filing fee for the 36th and each subsequent page - entry into EP phase
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 Select the fee you wish to change.
 Click the Quantity field.
 Enter the new amount.
Figure 277: Changing the quantity for a selected fee
 Click anywhere on the form.
The value in the Amount to Pay EUR column and the total amount of the fees are automatically
recalculated.
Figure 278: Recalculated total of the fees selected
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Editing fee amounts and reductions
If you wish to edit a fee amount or apply a specific reduction, you have to select the Edit fee amounts check
box. If you do so, please note that there will be no automatic fee correction for this application. Depending on
your selected mode of payment, the total amount shown will be debited from your deposit account or is payable
by bank transfer.
 Tick the Edit fee amounts check box below the fee selection table.
 Select the fee you wish to modify.
 Click in the field to be edited, Amount EUR or Reduction.
 Enter the new value.
 Click anywhere in the form.
The amounts in the column Amount to pay EUR and the total amount of the fees are automatically
recalculated.
Figure 279: Recalculated amount shown
If you want to undo changes to the fee amounts, you can restore the values from the fee table in Online Filing.
 Clear the Edit fee amounts check box.
The original values for all fees are restored in the form.
 The value in the Quantity column will not be reset, however.
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8 EP(1038E)
Designation of states
The options for the designation fees depend on the fee schedule selected in the Payment details sub-tab.
If Date of filing or entry into regional phase on or after 01.04.2014 or Date of filing or entry into the
regional phase from 01.04.2009 to 31.03.2014 inclusive is ticked:
 Select fee 005e - Designation fee - For all Contracting States designated in the Fee selection
sub-tab.
Figure 280: All contracting states designated
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If Date of filing or entry into the regional phase before 01.04.2009 or Euro-PCT application with
date of filing or earliest priority before 01.09.2006 is ticked:
 Select fee 005 - Designation fee for each state designated (max. 7x).
The Designation states sub-tab becomes visible.
Figure 281: Selecting fee 005 makes the "Designation states" sub-tab visible
 Click the Designation states sub-tab.
 Select the appropriate option: All states or Fewer than seven.
 Select the states for which designation fees should be paid.
The number of fees and the amount to be paid are then automatically calculated in the Fee selection tab.
Figure 282: Selecting states for designation fees
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8.5
8 EP(1038E)
EP(1038E) Annotations
You may use the EP(1038E) form to send an annotation to the EPO without supplying any other data or
attaching document.
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Author, Subject and Note fields.
Figure 283: Adding a new note as an annotation for the EPO
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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8.6
8 EP(1038E)
Reusing previous data for filing with EP(1038E)
Instead of creating a new application with the EP(1038E) form, you can simply re-use the data from the first filing
you created and sent with the EP(1001E2K) form and on which the subsequent filing should be based.
 Open File Manager and select the folder where the sent application is saved.
 Click the Sent status button.
 Select the required application - the EP application number is displayed in the App.number column.
 Right-click to select the option Reuse data for a subsequent filing.
Figure 284: Creating a new application for subsequently filed documents (form 1038E) using an application already sent
The Create a New Application window opens. Enter a new user reference of your choice or use the existing
one. The EP(1038E) form then opens with the following data from the application previously sent:
 EP application number
 Name of the first applicant
 Payment details entered
 Selected fees
Make your amendments or enter new data and save the application. Once the application has been successfully
sent, it appears in File Manager with the same EP application number.
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9
9 EP(Oppo)
EP(Oppo)
The EP(Oppo) form is used for filing an opposition and/or submitting subsequently filed documents in opposition
proceedings (not for appeal proceedings). It should be used by all parties involved in opposition proceedings.
The following section describes how to draft the electronic form for both of these situations. The different options
available in Form EP(Oppo) are explained using four examples. The options for attaching different documents
are a prerequisite in the following for the designation of persons and the selection of grounds and requests.
 Example 1: An opposition is filed by multiple opponents
 Example 2: An intervener with representatives files an opposition and designates a witness
 Example 3: The proprietor of a patent responds to the opposition filed against her patent
 Example 4: A third party files evidence
First communication – filing the notice of opposition or intervention
All natural or legal persons can use Form EP(Oppo) to file an opposition to a patent with the EPO, provided they
have their residence or corporate headquarters in a contracting state to the EPC. Opponents may be
represented by one of their employees (example 1).
Further parties can join ongoing opposition proceeding as interveners and designate any representatives they
may have. Both opponents and interveners can designate other persons as witnesses (example 2).
Persons who do not have their residence in a contracting state to the EPC must authorise a professional
representative or a legal practitioner entitled to act as a professional representative.
The opponent must uniquely identify the opposed patent, specify his or her grounds for opposition and submit a
written reasoned statement. The time allowed for filing notice of opposition is nine months from the publication of
the mention of the grant of the patent in the European Patent Bulletin. For more information, see the EPO's
Notes to the notice of opposition
(http://documents.epo.org/projects/babylon/eponet.nsf/0/7843500A258C080CC125725D004F1CF5/$File/23
00_notes_en.pdf).
Second communication – other actions
Proprietors of an opposed patent can use Form EP(Oppo) to respond to the opposition and designate their own
witnesses and submit documents (example 3).
Third parties can lodge further objections (example 4).
When filing with Form EP(Oppo), at least one of the following actions must be performed by the party who
selected the Other action option:
1. attach a document
2. submit a request
3. attach a piece of evidence
4. indicate a payment
5. write an annotation.
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9 EP(Oppo)
Data input in Form EP(Oppo)
Form EP(Oppo) is organised into six sections represented by six tabs in the navigation bar.
It is recommended to enter the data in the tab sequence given, i.e. starting with the Opposition tab. The options
and conditions in the Names tab, for instance, are determined by the selections you make in the Opposition
tab, and the options in the Documents tab depend on the selection in the Names tab.
Tab
What you can do
Opposition
Select the kind of communication, enter reference to the patent opposed, specify
grounds for opposition
Names
Enter details of the persons involved: opponent(s), intervener(s), representative(s),
proprietor(s), witness(es) or third parties.
Requests
Select options for additional request: refer to withdrawal/revocation, to oral
proceedings, to extension of time limit, etc.
Documents
Attach facts and arguments, publications for evidence, other evidence and other
documents.
Fee Payment
Enter the mode of payment, select fees according to the appropriate fee schedule.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 285: The Patent No. of the patent opposed is a mandatory field in the Opposition tab and is marked with a red triangle
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Elements in Form EP(Oppo)
Figure 286: Form EP(Oppo) - Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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9.1
9 EP(Oppo)
EP(Oppo) Opposition
The Opposition tab is where you basically choose the purpose for which you want to use Form EP(Oppo). Your
alternatives are either Notice of opposition or intervention or Other action. All subsequent options are
dependent on this selection. If you switch alternatives after entering data, you will lose any data that does not
apply to the new setting.
 Select the appropriate option.
The option Notice of opposition or intervention is selected by default (examples 1 and 2).
Figure 287: The option "Notice of opposition or intervention" is selected
 If you choose the Other action option (examples 3 and 4), you should also select the check box following
summons to oral proceedings if you have already received communication of this kind from the EPO.
 This option guarantees that your filing is assigned the highest priority for internal processing at the EPO.
Figure 288: The "Other action" option is selected
The red validation icon on the Documents button indicates that at least one document or piece of evidence is
missing in this case and needs to be attached or that an application, payment or annotation needs to be made.
Enter information on the patent and your statement of grounds in the Reference and Grounds sub-tabs.
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9.1.1
9 EP(Oppo)
Reference
Enter information about the opposed patent in the Reference sub-tab (examples 1 and 2).
 Enter the number of the opposed patent as published in the European Patent Bulletin in the Patent No. field.
This information is mandatory.
 Enter the number of the application in the Application No. field. This information is mandatory.
 Enter the relevant date in the field under Date of mention of the grant in the European Patent
Bulletin. This helps the EPO to determine the possible time left for filing notice of opposition.
 If the period between the date entered and the current processing data is more than nine months, an
appropriate message is output with a yellow validation icon in the list of validation messages.
 Enter the name of the invention in the Title of invention field, using the same wording as the title of the
published specification.
 In the Proprietor of the patent field, enter the party named first as proprietor in the patent specification.
 If you select the Other action option (examples 3 and 4), you only have to enter the patent number in this
sub-tab because this is the number that the EPO uses for the administration of proceedings. All other settings are
optional.
Figure 289: Information on the opposed patent entered in the "Reference" sub-tab
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9.1.2
9 EP(Oppo)
Grounds
Enter the grounds for your opposition to the patent as a whole or specific patent claims in the Grounds sub-tab
(examples 1 and 2).
 Select the claim(s) No(s). option and enter the numbers of the relevant claims in the field provided if you
only want to file an opposition to certain claims.
The option the patent as a whole is selected by default.
 Select at least one of the options (a) to (c) under Grounds for opposition.
 Please note that a written reasoned statement is also to be attached in the Documents tab.
If you selected non-patentability pursuant to Article 100 (a) EPC as the grounds for opposition, please provide
more details by choosing one or more of the reasons listed:
 Select the relevant grounds: it is not new, it does not involve an inventive step or patentability is
excluded on other grounds.
 Enter the relevant EPC articles such as 53 (c) in the other grounds field.
 If you select the Other action option, all fields in the Grounds sub-tab become inactive because grounds
for opposition are not needed in this instance (examples 3 and 4).
Figure 290: Stating the grounds for opposition
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9.2
9 EP(Oppo)
EP(Oppo) Names
Use the Names tab on Form EP(Oppo) to enter the name of the persons who file the opposition (first
communication, examples 1 and 2) or perform other actions (second communication, examples 3 and 4). There
are number of different options available for these two alternatives.
!
Attention: Be aware that you can only attach documents to the EP(Oppo) form if at least one
person is indicated in the Names tab. Please enter all names and their roles before you proceed to
the Documents tab. The options for attaching documents depend on the roles chosen in the
Names tab.
9.2.1
Persons in conjunction with "Notice of opposition or intervention"
If you selected the Notice of opposition or intervention option in the Opposition tab, you must specify at
least one opponent OR intervener. Multiple opponents or interveners can be specified. You can also
designate one or more representatives and witnesses, or enter an address for correspondence with the
opponents/interveners.
 Click the Add button in the Names tab.
 Select the appropriate option.
 The Address option only becomes available if the check box Address for correspondence has been
selected for the first-named opponent or intervener. In that case, the three Representative options are
removed from the list.
Figure 291: Options for adding persons when "Notice of opposition" is selected
 Enter information on the person in the input fields on the right or transfer the relevant data from the Address
Book.
 Repeat this procedure to add additional persons.
Removing names from the form
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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9 EP(Oppo)
Example 1: multiple opponents are designated
In this example, two legal persons and one natural person were added as opponents. The first-named opponent,
a company, is represented by one of its employees.
 Select the first-named opponent.
 Select the check box [Company] is represented by the following employee acting pursuant to Art.
133(3) EPC.
 Note that the Representatives option then disappears from the list on the left.
 Enter Last Name, First Name and Title.
 Enter the General Authorisation number.
 The name of this employee will be automatically filled into the Sign Application dialogue and cannot be
modified. Only an employee who is authorised by the applicant under Article 133 EPC is entitled to sign an
application.
Figure 292: Designation of multiple opponents; the first opponent is represented by an employee
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Address for correspondence
You can specify a separate address for correspondence with the first-named opponent, intervener or proprietor.
You cannot enter an address for correspondence if you have already added a representative, and vice versa.
 The country of the address for correspondence must be an EPC state.
 Select the first-named opponent.
The Address for correspondence check box is unlocked after the mandatory fields for the first-named
opponent (intervener or proprietor, respectively) have been completed, i.e. First Name, Last Name (or
Company), City and Country.
 Tick the Address for correspondence check box.
Address for correspondence then appears in the list on the left.
 If you selected Address for correspondence, you are required to supply the address in the next step.
A red validation icon in the Names tab notifies you of a validation message to that effect.
 Click the Add button and select Address from the drop-down list.
The first opponent's name appears under Address for Correspondence on the left and the data entry fields
become available on the right.
 Edit the address information as required.
- For legal opponents, the Company field cannot be edited, whereas for natural opponents Last Name
and First Name are locked.
- If you make changes to the first-named opponent's name after you have added the address for
correspondence, the name in the address for correspondence will be updated accordingly.
- If you delete the first-named opponent, the address for correspondence will also be removed from the
form.
Figure 293: Address for correspondence entered for the first-named opponent
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Example 2: one intervener, his or her authorised representative and one witness are designated
In this example, a natural person was designated as the intervener. The intervener is represented by a legal
practitioner.
 Note: The address for correspondence option is not available for the intervener once a representative has
been added to the form.
 Use the check boxes beside Authorisation(s) to indicate how the representative's authorisation is
substantiated.
- If you select is/are enclosed, you have to attach the authorisation as an electronic file in the
Documents tab. The validation messages for the Documents tab indicate that this document is
mandatory.
- If you select has/have been registered under No., you have to enter the authorisation number in the
adjoining - now mandatory - data field.
Figure 294: Designation of the intervener's representative
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 Click the Add button again and select Witness.
Only natural persons can be designated as witnesses.
 Enter the name of the witness.
 The yellow validation icon indicates that an address is needed for the summons.
 Select the address to which the witness summons should be sent. The options available are:
- to the party (i.e. the intervener in this example)
- to the following address.
Figure 295: Designation of the intervener's witness, summons via the party
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9.2.2
9 EP(Oppo)
Persons in conjunction with "Other action"
In addition to the options listed in the previous section, selecting the Other action alternative in the Opposition
tab lets you select one or more proprietors or third parties. You can therefore add EITHER opponents,
interveners, proprietors OR third parties IN ADDITION TO representatives and witnesses, or enter an address for
correspondence with the opponents/interveners/proprietors. It should be noted that third parties cannot remain
anonymous should they file with this option.
 Click the Add button in the Names tab.
 Select the appropriate option.
 The Address option only becomes available if the check box Address for correspondence has been
selected for the first-named opponent, intervener or proprietor. In that case, the three Representative
options are removed from the list.
Figure 296: Options for adding persons for the second communication
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Example 3: proprietor and representative are designated
In this example, the proprietor of the patent wants to submit additional information on her opposed patent. The
company is represented by an attorneys' office (association).
 Select other options for the proprietor of the patent as applicable.
 The option [Company] is represented by the following employee acting pursuant to Art.
133(3) EPC is only active for the first-named legal person if no representative has been added.
 Enter information on the representative's authorisation; see example 2.
Figure 297: Designation of proprietor and representative
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Example 4: a third party is designated
In this example, a third party who has not yet been involved in the proceedings makes observations on the
opposition to the patent.
 Enter the name and address of the third party.
 A witness cannot be added in this instance.
Figure 298: Designation of third party
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9.3
9 EP(Oppo)
EP(Oppo) Requests
Use the Requests tab to file additional requests that extend beyond the scope of the opposition or, in the case
of a second communication, respond or refer to the opposition.
The options available are directly dependent on the settings you chose or the data you entered in the
Opposition and Names tabs.
Example 1: The opponents submit an auxiliary request for oral proceedings with an interpreter
 Tick the check box Request for oral proceedings.
This automatically activates and ticks the check box auxiliarily. This means that your request for oral
proceedings only applies if the EPO decides against your interests.
 Clear the check box auxiliarily if you want the request for oral proceedings to apply irrespective of the EPO
decision.
 Tick the check box Request for interpreting if you are only able to participate in oral proceedings in a
specific language.
 Select one of the EPO's three official languages (English, German and French) for the options listening in
and speaking in. These inputs are mandatory if you enter a request for interpreting.
 Tick the check box Request for accelerated processing as applicable.
 Type the reason for this request into the text box.
Figure 299: Request for oral proceedings with interpreting and request for accelerated processing
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Example 2: The interveners submit a request for oral proceedings irrespective of the EPO decision and a
request for the taking of witness evidence
In this example, the Request for oral proceedings option is selected and the check box auxiliarily has been
cleared.
The option Request for the taking of evidence by the hearing of a witness is always automatically
selected if one or more persons were named as witnesses in the Names tab.
 If you are expressly against the taking of witness evidence in oral proceedings, clear this check box.
Figure 300: Request for oral proceedings irrespective of the EPO decision and request for the taking of witness evidence
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Example 3: The proprietor of the patent withdraws her request for oral proceedings and submits a
request for extension of the time limit
In this example, the proprietor of the patent responds to an opposition to her patent. A request for oral
proceedings has already been submitted.
 Tick the check box Withdrawal of request for oral proceedings.
This deactivates the Request for oral proceedings option because the two options are mutually exclusive.
The options for extending the time limit are only active if the field Date of mention of the grant in the
European Patent Bulletin in the Opposition tab was either left blank or the date entered is more than nine
months before the current date.
 Tick the check box Request for extension of time limit by.
 Select the number of months – 1, 2, 3 or 4 – from the drop-down list labelled month(s) to a total of.
 Enter the total number of months for the extension of time limit into the last field labelled month(s). This
information is mandatory.
 The maximum permitted time limit is six months. If you request an extension that brings the time limit to
over six months, a red validation icon appears in the Requests tab. The validation message informs you that
you must provide convincing reasons as to why a reply in the period previously laid down is not possible.
 Specify the Reason in the corresponding text field.
 If the total number of months requested for extension is six or fewer, this information is optional.
Figure 301: Request by the proprietor of the patent for extension of the time limit and withdrawal of the request for oral
proceedings
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Example 4: The proprietor of the patent requests revocation of the patent
The Request for revocation of the patent option is only active if you named one or more persons as the
proprietor of the patent in the Names tab.
If the check box is ticked, all other options with the exception of Request for accelerated processing and
Other requests are deactivated.
 Tick the check box Other requests as applicable.
 Describe your request in greater detail in the text field provided.
Figure 302: Request for revocation of the patent by the proprietor
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9.4
9 EP(Oppo)
EP(Oppo) Documents
Use the Documents tab on Form EP(Oppo) to attach all documents needed in support of your opposition. You
can also submit data on publications as evidence, amendments to the patent description, translations and
authorisations as well as many other documents.
!
Attention: Be aware that you can only attach documents to the EP(Oppo) form if at least one
person is indicated in the Names tab. The Add button for document attachment is disabled if no
role has been added on the Names tab.
The Documents tab is split into the Documents, Evidence - publications and Evidence - other sub-tabs.
The options available in these sub-tabs for the type of documents to be attached change depending on the
communication type selected, the designated persons and the requests entered.
 In the event of opposition (examples 1 and 2), Facts and Arguments is a mandatory attachment. A red
validation icon therefore appears on the Documents button.
 If you select the Other action option (examples 3 and 4), the attachment of documents is optional, provided
you enter data in the Requests, Fee Payment or Annotations tabs. Otherwise, a red validation icon also
appears here.
You can only attach files in PDF format. All electronic documents attached must be compatible with Annex F; see
Preparing documents for attachment (p. 91).
9.4.1
Document types for EP(OPPO) as defined by functional role
The options for the type of documents to be attached in the Documents sub-tab depend on what you selected
in the Opposition and Names tabs:
Notice of opposition or intervention – role: opponent or intervener
 Facts and Arguments
 Other documents:
- General authorisation
- Specific authorisation
- Document containing information about further representatives
- Request for change of address
- Request for change of name
- Request for change of representative
- Request for transfer of rights
- <other document>
Other action – role: proprietor
Reply to notice(s) of opposition
Reply to an examination report in opposition proceedings
Main request document
Separate auxiliary request document
Acknowledgement of receipt
Non-public documents:
- Medical certificate
- Non-public annex
- Request for certified copies of the application
- Request for inspection of the file
 Other documents:
- General authorisation






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9 EP(Oppo)
-
Specific authorisation
Document containing information about further representatives
German translation of claims
English translation of claims
French translation of claims
Request for change of address
Request for change of name
Request for change of representative
Request for transfer of rights
Translation of priority document
Please provide the application number, for which the translation of the priority document is filed, as a note
to the EPO under Annotations (see "EP(Oppo) Annotations" p. 273).
-
Request for re-establishment of rights
Grounds for re-establishment of rights
Request for a decision
Letter concerning the priority
<other document>
Other action – role: opponent or intervener
Facts and arguments
Reply to the communication concerning admissibility of an opposition
Reply to the observations made by the patent proprietor(s)
Reply to an examination report in opposition proceedings
Acknowledgement of receipt
Non-public documents:
- Medical certificate
- Non-public annex
- Request for certified copies of the application
- Request for inspection of the file
 Other documents:
- General authorisation
- Specific authorisation
- Document containing information about further representatives
- Request for change of address
- Request for change of name
- Request for change of representative
- Request for transfer of rights
- Request for a decision
- <other document>






Other action – role: third party
 Observations/Citations filed by a third party
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9.4.2
9 EP(Oppo)
Attaching documents
Example 1: The opponents submit the facts and arguments and an authorisation
The grounds for opposition with an explanation of the facts should be presented pursuant to Rule 76 (2) c) EPC
in a separate file with the opposition.
In this example, the first-named opponent, a company, is represented, by an employee. The specific
authorisation for representation is presented as a separate document.
 In the Documents sub-tab, click the Add button.
 Select the Facts and Arguments option.
 Navigate to where your file is saved.
 Select the file and click Open to attach it.
The file is renamed OPPO.pdf.
The original file name and the number of pages are indicated on the form.
Figure 303: Facts and arguments document attached
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


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9 EP(Oppo)
Click the Add button again to attach the authorisation.
Select the Other documents option.
Navigate to where your file is saved.
Select the file and click Open to attach it.
Select an option - in this example Specific authorisation - in the Document type list.
The file is renamed SPECAUTH-1.pdf.
Figure 304: Authorisation attached
Example 3: The proprietor of the patent submits a reply to the notice of opposition filed, a translation of
the claims and the acknowledgement
In this example, the proprietor responds to the notice of opposition filed against the patent. An English translation
of the claims is also filed.
 Click the Add button in the Documents sub-tab.
 Select the option Reply to notice(s) of opposition.
 Navigate to where your file is saved.
 Select the file and click Open to attach it.
The file is renamed OBSO3.pdf.
The original file name and the number of pages are indicated on the form.
Figure 305: Reply to notice of opposition attached
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Click the Add button again to attach the translation.
Select the Other documents option.
Navigate to where your file is saved.
Select the file and click Open to attach it.
Select an option - in this example English translation of claims - in the Document type list.
The file is renamed CLMSTRAN-EN-1.pdf.
Figure 306: Translation of claims attached
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Click the Add button again to attach the acknowledgement.
Select the Acknowledgement option.
Navigate to where your file is saved.
Select the file and click Open to attach it.
The file is renamed ADVOFDELIVRY.pdf.
Figure 307: Advice of delivery attached by the proprietor
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Filing non-public documents
The filing of non-public documents is available for the opponent, intervener and proprietor role if you selected
Other action in the Opposition tab,
!
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
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Note: You cannot attach a combination of both public and non-public documents to Form
EP(Oppo). If you attach non-public documents in the same form, you cannot submit a request by
selecting one of the options in the Request tab or select a fee. Please use separate forms for
public and non-public submissions to the EPO.
Click the Add button and select Non-public documents.
Navigate to your file and attach it.
In the Document type list, select the appropriate document type, e.g. Medical certificate.
The file is renamed MEDA-1.pdf.
Figure 308: Non-public document attached
If, after having attached your non-public document, you then attach one of the files from the assortment of public
document types, a red validation icon appears on the Documents button. The validation message explains the
error.
Figure 309: Validation message after attaching public and non-public documents
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Evidence - publications
You can attach the following documents in the Evidence - publications sub-tab:
 Patents
 Articles
 Books
 Database
 Internet publications
Additional details on the publication should be provided for every document attached, including the date, author,
publisher or URL.
Example 2: The interveners present multiple publications as evidence
In this example, the interveners present two publications as evidence: an article from a periodical and a
publication on the Internet. Copies of both publications are provided as PDF files.
 Click the Evidence - publications sub-tab.
 Click the Add button.
 Select the Articles option and attach the relevant PDF file.
 Enter information on the publication in the fields provided:
- Reference is an internal code under which you archived the publication or evidence.
 The maximum length of the reference is 8 characters.
-
Author's surname and first name
Title of the published article
Periodical name of the periodical in which the article appeared, and where applicable Volume number
and Article No.
Publication date in the format DD.MM.YYYY or month and year
ISBN number, if appropriate
Particular relevance indicates items of particular relevance in the article
Figure 310: Example of an article attached as evidence
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 Click the Add button again to attach the Internet publication.
 Select the Internet publications option and attach the relevant PDF file.
 Enter information on the Internet publication, particularly the reference, the exact wording of the title and the
date when you retrieved the publication.
Figure 311: Example of an Internet publication as evidence
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Evidence - other
You can attach all other evidence in the Evidence - Other sub-tab:
 Affidavit
 Images or photo (PDF)
 Cover letter for non-scannable object
 Other evidence
 Translation of evidence
For every document, enter your internal reference for the evidence.
Example 4: The third party presents an affidavit and other evidence
In this example, the third party presents an affidavit. The third party has prepared a video recording as evidence
and sent a DVD with the digital video film to the EPO by mail. The copy of the reference sheet to this DVD is
presented as another piece of evidence in the online proceedings.
 Click the Evidence - other sub-tab.
 Click the Add button.
 Select the Affidavit option and attach the relevant PDF file.
The file is renamed Affidavit-1.pdf.
 Enter your internal reference in the Reference field.
 The maximum length of the reference is 8 characters.
 Select the option Cover letter for non-scannable object and attach the second PDF file.
The file is renamed Model-Reference-1.pdf.
 Enter your internal reference in the Reference field.
Figure 312: Further documents attached as evidence
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EP(Oppo) Fee Payment
Select the fees that you want to pay on Form EP(Oppo)'s Fee Payment tab and specify the mode of payment.
The currency for all fees is EUR.
!
Note: No fees are due for observations filed by third parties under Art. 115 EPC; see Decision of
the President of the European Patent Office dated 10 May 2011 (Official Journal 7/2011,
p. 418) (http://archive.epo.org/epo/pubs/oj011/07_11/07_4181.pdf). If you enter any data in the
Payment details sub-tab when filing as a third party, a red validation icon will appear in the Fee
Payment tab. Please reset all data entries, i.e. set the Mode of payment to Not specified and
clear the Reimbursement check box.
Online fee payment
The EPO offers a quick and secure online fee payment service designed for holders of EPO deposit accounts.
For more information, go to the EPO website and navigate to Applying for a patent > Online services >
Online fee payment (http://www.epo.org/applying/online-services/fee-payment.html).
Payment details
 Click the Payment details sub-tab.
 Select the Mode of payment in the drop-down list.
- The options Automatic debit order and Debit from deposit account assume that you have an EPO
deposit account.
The Automatic debit order option is only valid for the proprietor(s) of the patent.
- Select the Bank transfer option if you want to transfer the fees to the EPO's bank account with the
Commerzbank AG in Munich, Germany.
The IBAN and BIC codes of the EPO's bank account are supplied automatically when you select the
Commerzbank from the drop-down list.
- Select Not specified if you are not sure how you will be settling the fees.
!
Note: You are not required to enter 28 as the leading digits of the deposit account number, since
these are automatically supplied by the software. Just enter the six remaining digits. If the deposit
account number is not entered correctly, e.g. you enter more than six digits, you will see a red
validation icon in the Fee Payment tab. The corresponding validation message tells you to verify
the deposit account number. The same rule applies to the deposit account number for
reimbursement.
 If you wish to have the fees debited from your account later than the submission date, enter the date in the
Deferred execution date field.
 Hover your mouse pointer over the symbol
to the right of the Deferred execution date field to see the
Important information:
This functionality allows you to indicate explicitly that your payment order is to be executed at a later date
than the submission date.
In this case, the payment date will be deemed to be the deferred execution date, provided that you have
sufficient funds on your deposit account on that date.
Please choose the deferred execution date option only if the fees are to be debited on a future date, as
otherwise the default execution date is the date of receipt.
The deferred execution date can be a maximum of 40 days in the future.
Please ensure that the deferred execution date lies within the time limit set for paying the selected fees.
Please note that any debit orders (standard or deferred execution) can only be revoked until 00.00 hrs CET
on the date of submission (Arrangements for deposit accounts, 7).
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Once you select a mode of payment, a red validation icon appears on the Fee Payment tab. The associated
message indicates that the total fee amount is zero.
Figure 313: Details on fee payment
Further options
The Fee Payment sub-tab offers some additional options at the bottom of the screen.
 If you wish the EPO to make any reimbursements to a deposit account with the EPO, tick the
corresponding check box.
This option applies to all selected modes of payment. However, if you selected automatic debit order or
debit from deposit account, you are only required to enter an account number here if that number is
different from the account number used for payment.
 Where applicable, enter the EPO deposit account number and supply the account holder's name.
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Fee selection
 Click the Fee selection sub-tab.
 Tick the check boxes for the fees to be paid.
- The fee amount is automatically calculated.
- The check boxes for fees not applicable in this application are locked.
Figure 314: Selecting the fees payable
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EP(Oppo) Annotations
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Author, Subject and Note fields.
 If you selected Other action in the Opposition tab, you can use Form EP(Oppo) for the sole purpose of
transmitting an annotation to the EPO. The red validation icon in the Documents tab will disappear after you
enter your text in the Note field. The application is ready for filing and can be signed in the next workflow step.
Figure 315: Opponent annotation for the EPO
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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Previewing the completed form
Two different PDF views of Form EP(Oppo) are displayed in preview mode depending on whether you started by
selecting Notice of opposition or Other action.
 Click the Preview button in the toolbar.
Example 1: Multiple opponents
If you selected the Notice of opposition option, EPO Form 2300E entitled Notice of opposition to a
European patent is displayed.
Information on the opposed patent, the proprietor of the patent and the (first) opponent is displayed on the first
page. The address for correspondence and the employee under Article 133(3) EPC are indicated.
Figure 316: PDF view of the form "Notice of opposition to a European patent"
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The other opponents are listed on one or more additional sheets at the end of the PDF document.
Figure 317: PDF view of the additional sheet to the opposition, listing additional opponents
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Example 3: Reply of the proprietor of the patent
If you selected the Other action option, the form entitled Submission in opposition proceedings is
displayed.
Requests and attached documents are listed in the section after the information on the proprietor of the patent
and the patent.
Figure 318: PDF view of the form "Submission in opposition proceedings"
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Example 4: A third party submits information
If you selected the Other action option and designated a third party, the form entitled Observations by third
parties (Art. 115 EPC) is displayed.
The attached documents and evidence are listed on the form.
Figure 319: PDF view of the "Observation by third parties (Art. 115 EPC)" form
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The request form PCT/RO/101 allows you to submit an international application electronically to the EPO, WIPO
or any national office that accepts these online filings. The provisions of the PCT and its regulations (PCT Rules)
apply, supplemented where applicable by the provisions of the EPC.
!
Note: This document focuses on the EPO acting as receiving office. For more information about
the PCT, see the WIPO website at IP Services > PCT > Treaty
(http://www.wipo.int/pct/en/treaty/about.html).
Figure 320: PCT/RO/101 form overview
Form element
Comments
Menu bar
Provides options to edit, save, preview, print, import and export applications,
switch to another section, view validation messages and access help.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Navigation bar
Displays tabs corresponding to the sections of the form.
Details area
Displays data entry fields appropriate to the selected tab.
Traffic lights
Uses colours to indicate the completeness of each section.
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Toolbar
The toolbar provides buttons for the most common tools you will need to access as you prepare, sign and send
your application. If the current status of your application does not allow you to perform a particular task yet, the
corresponding button is deactivated.
Button
Function
Comments
Preview
Shows a preview of the application in the PDF Viewer.
Print
Prints the application to your default printer.
Sign
Prepares the application for submission and moves it to Ready to sign
status in the File Manager.
If the option Start signing immediately when moving application
forwards from draft status is selected in the user preferences in the File
Manager, the application immediately opens in the PDF Viewer to be
signed; see Signing the form (p. 354).
Save as Ready for
Signing
Prepares the application for submission and moves it to Ready to sign
status in the File Manager.
Signing can then be done from the File Manager; see Signing the form
(p. 354).
Help
Opens the Online Help in your default browser.
Validation
Opens the Validation Messages window for the currently selected section
(tab).
Navigation bar (sections)
Form PCT/RO/101 is split into ten administrative sections represented by corresponding tabs.
Tab
What you can do
Request
Request that the present international application be processed according to the Patent
Cooperation Treaty (PCT)
Select the receiving office, the International Searching Authority and the language
Enter a title for the application
States
Exclude certain designated states
Indicate reference to a parent application or grant
Names
Enter details of applicant, agent (representative) and inventor
Priority
Claim a national, regional or international priority
Biology
Enter details related to deposited microorganisms and the depositary institution
Indicate that the description contains a sequence listing
Declarations
Make applicant or inventor declarations
Contents
Attach specification documents and other electronic files
Fees
Calculate fees according to the selected fee schedule
Payment
Select a payment option and enter related data.
Annotate
Create remarks and private remarks
View the Validation Log
Designate inventor(s) for certain states only
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Traffic lights (validation icons)
Validation messages are indicated by the traffic light icons. This way, you can see at a glance if the data you
have entered is complete or if additional information is required.
A red traffic light icon signals that mandatory information is missing (for example, the
description of the invention or the claims). You must supply this data before submitting
the form.
A PDF or XML document added in the Contents tab may also trigger a red traffic light if
it is deemed not to be of a sufficient quality to meet the filing criteria.
A yellow traffic light icon indicates that this information is required, but not mandatory at
this stage (for example, the abstract).
If a yellow light is displayed when you add a PDF or XML document in the Contents tab
this may also reflect compliancy or quality issues that should be reviewed. In this case,
however, the documents are of sufficient quality to allow filing.
A green traffic light icon indicates that the information is complete.
Viewing validation messages
For example, if you are working in the Request section and the traffic light icon in the Request tab is red, the
validation window will provide you with more information about the data that is missing.
 To open the Validation Messages window, click the Validation button in the toolbar.
-ORSelect Tools > Validation from the menu.
Figure 321: Validation messages relating to the Request tab
You can display the validation messages for each form section individually or you can view the Validation Log
for the application as a whole; see PCT/RO/101 Annotate (p. 348).
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Creating a new PCT/RO/101 application
The most convenient way to create a new PCT/RO/101 application from scratch is by using the PCT/RO/101
form in the Forms folder of the File Manager.
 For detailed information on working with folders, applications and templates in the File Manager, see the
corresponding section in the Online Filing user guide or in the online help for the File Manager.
 Launch the Online Filing Client 5.0.
By default, the File Manager opens with the Forms folder displayed.
 Double-click the PCT/RO/101 form.
Figure 322: Selecting the PCT/RO/101 form in the Forms folder of the File Manager
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The Create a New Application window opens.
 Enter the User Reference for the new application.
 Select the language you want in the Language of proceedings list.
The form on which the application is transmitted to the EPO will be created in this language.
By default, the language is English if your File Manager is also set to English.
 Select the folder where you want to save the new application.
Default Folder is selected by default.
 Click Create.
Figure 323: Entering data to create a new application
A warning message appears if the user reference you entered has already been assigned to another
PCT/RO/101 application.
Figure 324: Warning message if the user reference is already in use
Online Filing does not allow you to use the same user reference for multiple PCT/RO/101 applications.
 Edit your entry in the User Reference field.
 Click Create.
 The new PCT/RO/101 application opens in the form view.
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Saving the form
The new application and all the data that you are going to enter are only stored in the Online Filing database if
you save the form. If you close the form without saving, all data will be lost.
Saving the draft application while keeping the form open
 From the menu, select File > Save as Draft.
The saving process will take a few moments. You can then continue working in the application.
Closing the form and saving the application on exit
 From the menu, select File > Close Form.
-ORClick the red closing button in the top right-hand corner of the form window.
-ORDouble-click the violet and white icon in the top left-hand corner of the form window.
Figure 325: Options for saving and closing an application
 In the following dialogue, select Save as Draft.
 Click OK.
The application is saved and closed, returning you to the File Manager.
Figure 326: Options in the closing dialog
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Working with templates
Templates are user-defined forms, containing data that you need every time you prepare certain applications,
such as information relating to a particular applicant or to fee payments.
 The only way to create a template for a PCT/RO/101 form is to use a draft saved in the Default Folder of
the File Manager. If you create a template using any other folder, your template will not be visible from the File
Manager interface.
Creating a template from the open form
 From the menu, select File > Save as Template.
 In the following dialogue, enter a unique user reference for the template.
 Click OK.
Figure 327: Entering user reference for a new template
Entering a description for the template
All templates based on form PCT/RO/101 are automatically saved in the Templates folder in the File Manager.
 To assign a description to a template, right-click it and select Properties from the context menu.
Figure 328: Editing the properties of a template
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 In the following dialogue, enter the Template description.
 Click Save.
Figure 329: Entering a description after a template has been created
 Note: Existing PCT/RO/101 templates cannot be edited. If you want to copy or edit a template, create a new
application based on this template, edit the data as required and save the form as a new template.
Using the template for a new application
 Double-click the template in the Templates folder.
The Create a New Application window opens.
The template's name is already selected in the Based on Template drop-down list.
 Proceed as described in Creating a new PCT/RO/101 application (p. 281).
Figure 330: Creating a new application from a PCT/RO/101 template
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PCT/RO/101 Request
Form PCT/RO/101 opens with the Request tab by default. This section provides data entry fields for the most
basic information of a new application.
 The examples shown in this document are confined to applications where the EPO is selected as both
receiving office and International Searching Authority (ISA).
 Select EP as the Receiving Office.
 Select EP as the International Searching Authority.
 Select the Language of filing of the international application.
The available options are English, French and German.
 Enter the Title of invention using BLOCK CAPITALS.
The title should be the same as on the first page of the description.
Figure 331: Entering basic data for the application
Request to use results of earlier search
 If appropriate, tick the check box Request to use results of earlier search.
This enables additional options for entering the required details.
 Double click the row Open to add reference to earlier search.
-ORClick the Open button.
Figure 332: Adding a reference to an earlier search
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The Details of Earlier Search window opens.
 Select the Country (or regional Office).
The European Patent Office (EPO) is selected by default if the EPO was selected as the International
Searching Authority.
 Enter the Filing date.
 Enter the Application number in the appropriate format.
 If applicable, tick the check box for This international application is the same, or substantially the
same, as the application in respect of which the earlier search was carried out, except, where
applicable, that it is filed in a different language.
The two remaining options are mutually exclusive.
 If search-related documents are already available to the ISA, select The following documents are
available to the ISA in a form and manner acceptable to it and therefore do not need to be
submitted by the applicant to the ISA (Rule 12bis.1(f)).
 Select all applicable options.
Figure 333: Details of earlier search, documents available to the ISA
 The option The receiving Office is requested to prepare and transmit to the ISA (Rule 12bis.1(c))
does not apply for applications where the EPO is the receiving office, because the EPO is also the ISA in these
cases.
 Click OK.
The Details of Earlier Search window closes.
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Back in the Request tab, you can continue editing references to earlier searches.
 Add another reference by clicking Open once again.
 Delete a reference by right-clicking it and selecting Cut from the shortcut menu.
Figure 334: Deleting reference to earlier search results
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PCT/RO/101 States
The States tab of form PCT/RO/101 allows you to exclude pre-defined designation states and add references to
parent applications or grants.
 The most recent list of PCT contracting states
(http://www.wipo.int/pct/guide/en/gdvol1/annexes/annexa/ax_a.pdf) is available on the WIPO website.
By default, all contracting states bound by the PCT on the international filing date are designated when a new
request is filed. However, the designation of Germany, Japan or the Republic of Korea can be excluded if a
national priority of the particular state concerned is claimed.
 To exclude a designation irrevocably, tick the corresponding check box.
Reference to parent application or grant
 To add a reference, click the Reference to parent application or grant button.
 The check box to the left of the button cannot be edited manually.
Figure 335: Designation of states, adding reference to parent application or grant
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The Reference to Continuation or Continuation-in-Part ... window opens, with the National parent
application or grant tab selected by default. All relevant countries are displayed in the list.
 If you excluded individual countries (DE, JP or KR) from designation, these are not listed.
 To enter or edit a reference, double-click the corresponding country in the list.
Figure 336: Adding reference to national parent application or grant
The National parent application or grant window opens.
 Select the Kind of parent application or grant.
 Enter the Parent application or grant number.
 Enter the Parent application or grant date.
 To add or edit another reference, click the corresponding country code on the left-hand side and enter the
relevant details.
 Click OK.
Figure 337: Entering details for national parent application or grant
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The national references are now displayed in the country list. The abbreviation stands for the kind of patent
application or grant. For example, poa means patent of addition.
 To add an OAPI reference, click the button labelled OAPI parent application or grant (OAPI =
Organisation Africaine de la Propriété Intellectuelle).
Figure 338: National parent applications entered, switching to OAPI parent application
 Enter the details.
 Click OK.
Figure 339: Entering details for OAPI parent application
Back in the States tab, the check box for Reference to parent application or grant is now ticked.
Figure 340: Check box is selected and indicates references to parent applications
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PCT/RO/101 Names
The Names tab of PCT/RO/101 is for adding contact details for all persons involved in this application:
 Applicant
 Inventor
 Agent
 Common representative
In certain cases, an additional special address for correspondence can be added.
There are two different ways of adding names and addresses to the form. Choose the method which is most
convenient for your personal workflow.
(1) Copying names from the Address Book
 To browse the Online Filing Address Book, click the Address Book button.
 Define a single entry for one of the functions in the Names tab; see Adding names from the Address Book
to a form and vice versa (p. 307).
Figure 341: Options for adding persons in the Names tab
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(2) Adding names in the Details window
 Open the details window for the applicant, inventor or agent, either by double-clicking the corresponding row
in the list or by selecting an entry and clicking the Open button.
 Enter the name and address data manually.
-ORImport an entry from the Address Book:
- Select the first address book entry by clicking the address book icon.
-
Browse the address book in sequence using the left and right buttons.
Removing names
 To delete a name, right-click the corresponding entry and select Cut from the shortcut menu.
 Note: This action cannot be undone.
Figure 342: Removing person from the Names tab
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Applicant
At least one applicant or applicant/inventor must be indicated for all designated states or group of designated
states. For the competence of the EP as the receiving office at least one of the applicants must be resident in or
have the nationality of one of the EPC states.
Applicant is a legal entity
The Details concerning Applicant or Applicant/Inventor window opens when you click Open in the
Names tab. Legal entity is selected by default.
 In the Name field, enter the company name (full official name) in BLOCK CAPITALS.
 Enter the remaining address information.
 If applicable, enter additional address information such as the floor, building etc. in the first address field.
 Note: The second address field is intended for the street and house/building number.
 If you wish, you can select your preferred option for the use of e-mail to send notifications.
 At present, however, the EPO does not send any official communications by e-mail so this option is
redundant when filing with the EPO.
 To continue adding entities, click the corresponding button on the left-hand side. For example, + App. adds a
second applicant to the list.
 Click OK when ready to return to the Names tab.
 Click Cancel to close the Details window without saving data.
Figure 343: Details concerning applicant, legal entity
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Applicant or applicant/inventor is a natural person
 Select Natural person.
This also unlocks the option This person is also inventor to the right.
 Where appropriate, tick the check box to designate this applicant as inventor.
 Enter the last name in BLOCK CAPITALS.
 Complete the address data.
 Telephone, facsimile and e-mail information is only required for the first applicant, so the corresponding
fields are locked for the second and all further applicants.
 The Rep. (common representative) option becomes available on the left-hand side.
Figure 344: Details concerning second applicant, natural person
Designated states
If you want to restrict the designated states for any applicant, you can specify the states individually.
 Select Certain designated States only.
 Click the select/modify button, which is now available.
Figure 345: Option for designating certain states only
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 Select the desired countries by ticking boxes individually.
 Use the Select All button to select the complete list.
 Use the Clear All button to undo any selection.
Note that the list is ordered alphabetically by type and then country. A country may appear more than once under
these types:
 ARIPO patent
 Eurasian patent
 European patent
 OAPI patent
 National patent
Figure 346: Designated states grouped by type
Common representative
If more than one applicant is entered, the common representative (Rep.) option becomes available if no agent or
correspondence address is used. The common representative must be resident in or have the nationality of one
of the EPC states.
Agent (Agt.), common representative (Rep.) and correspondence address (Corr.) are mutually exclusive
options, meaning that if one is chosen then the other two options are unavailable. If none of these three options
is used, the first named applicant will be considered as the common representative and all correspondence will
be addressed to him.
 Click the Rep. button on the left-hand side of the Details window.
-ORDouble-click the + Common Rep. row in the Names tab.
 Select one of the applicants from the Name drop-down list.
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The address details are completed automatically.
Figure 347: Details concerning Common Representative, using data of 1. Applicant
Special address for correspondence
If no agent and no common representative are named, you can add an extra address for correspondence which
is different from an applicant's primary address.
 Click the Corr. button on the left-hand side of the Details window.
-ORDouble-click the + Corr. Address row in the Names tab.
By default, the details are completed automatically with the name and address information of the first applicant.
 Modify this data where necessary.
Figure 348: Details concerning Special Address for Correspondence, legal entity
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Inventor
You do not have to name the inventor(s) when you file your application, as the information can be submitted
subsequently, but it is strongly recommended that you do so.
Inventor only
 In the Names tab, double-click the + Inventor only row.
-ORIn the Details window, click + Inv.
 Fill in the data fields or retrieve an entry from the address book.
 Remember to enter the inventor's last name in BLOCK CAPITALS.
Figure 349: Details concerning Inventor Only
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Deceased inventor
The successor to the rights of the deceased inventor can be selected from defined applicants provided that an
applicant is designated for the US in the Names tab .The deceased person remains the inventor.
 Select the Deceased check box in the Details concerning Inventor Only window.
The applicant names that appear on the list are those whose designations include the United States of
America.
 If no US designation is present under any of the applicants, then this list will be empty and you cannot




enter any data for succession rights in the US.
Select the check box for the applicant who is successor to the rights of the deceased inventor.
Double-click in the corresponding Capacity box to open the list of options.
Select the appropriate capacity.
Repeat these steps if there is more than one legal representative for the deceased inventor.
Figure 350: Selecting capacity for the successor to the rights of the deceased inventor
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Agent
If you don't specify a common representative or a special address for correspondence, you can name one or
more agents.
 In the Names tab, double-click the + Agent row.
-ORIn the Details window, click + Agt.
 Note that the options Common Representative and Corr. Address become unavailable once you
added an agent.
 Select the person type: Legal entity or Natural person (default option).
- For legal entities, enter the company name in BLOCK CAPITALS.
- For natural persons, enter the last name in BLOCK CAPITALS.
 Complete the agent's data.
 For the competence of the EP as the receiving office the agent must be resident in or have the nationality
of one of the EPC states.
 If you provide an e-mail address, select the appropriate authorisation check box.
 At present, however, the EPO does not send any official communications by e-mail.
Figure 351: Details concerning agent, legal entity
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 Click + Agt. to name a second agent.
 Enter the agent's name.
 Select Same address as the first-named agent, if applicable.
The address data entry fields are then removed from the form.
 Click OK when ready.
Figure 352: Details concerning 2. Agent, natural person
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Back in the Names tab you have further options:
 To change the order of the agents, right-click a name and select Move Up or Move Down from the shortcut
menu.
The list will be re-arranged accordingly.
 Click the Power of Attorney button to create the Power of attorney document (p. 303).
Figure 353: Options for 2. Agent in the Names tab
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Power of attorney document
You can create a power of attorney document in PDF format and attach it to the application. The Power of
Attorney button becomes available if
 At least one applicant and one agent are added.
-OR More than one applicant and a common representative are added.
 In the Names tab, click Power of Attorney.
The Power of Attorney window opens.






Select the applicant(s) giving power of attorney.
Select the agent/common representative to whom power of attorney is given.
Select the applicable authority from the drop-down list at the bottom of the form.
Enter a date.
To view the draft power of attorney document in the PDF Viewer before signing, click Preview.
To open the PDF Viewer and then proceed further to the signing dialogue, click Sign.
Figure 354: Selecting applicants and agents for the Power of Attorney document
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The PDF Viewer window opens.
 To return to the Power of Attorney window and modify the data before signing, click Cancel in the bottom
right-hand corner of the PDF Viewer.
 To launch the signing process, click Continue.
Figure 355: Previewing the Power of Attorney in the PDF Viewer before signing
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The List of Signatories window opens.
 If the applicant is a legal entity, enter the last name and first name of the person entitled to sign in the
<name_of_signatory> field and that person's function in the <capacity> field.
If the applicant is a natural person, only the applicant's name can be selected.
 Click Add Signatory.
Figure 356: Adding signatory for 2. Applicant who is a natural person
The Signature window opens.
 In the Signature window, enter an alphanumeric signature between the two slashes /.../ or attach a file with
the facsimile signature.
 Click Apply Signature.
Figure 357: Applying alphanumeric signature for applicant
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The List of Signatories window shows the new signature.
 Repeat these steps to add more signatories if required.
 Click OK when ready.
Figure 358: Adding signatories for the Power of Attorney document
Back in the Power of Attorney window the names and capacity (if legal applicants) of the signatories are now
indicated in the applicants' list.
 To view the form with the signatures in the PDF Viewer, click Preview.
 To return to the Power of Attorney window after checking the PDF, click Cancel.
Figure 359: Signatures in the Power of Attorney document preview
 To save your data and exit the Power of Attorney window, click OK.
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Adding names from the Address Book to a form and vice versa
The Address Book Exchange function provides a convenient way to copy existing addresses from the
address book to a PCT/RO/101 form. Vice versa, it allows you to copy an address which was manually entered
from the form to the Address Book.
!
Note: The data structure of form PCT/RO/101 is not fully compatible with the Online Filing address
book, because the PCT plug-in is based on the WIPO PCT-Safe software and uses an older
technical platform. Please open the OLF address book from the File Manager to check whether the
address information has been copied correctly, and amend the data if necessary.
Adding names to the form
 In the Names tab, click Address Book.
In the upper part of the Address Book Exchange window the existing Address Book entries are listed,
whereas the lower part lists the names added to the form at this time.
 To copy a name from the Address Book to the form, select an entry in the list at the top.
Depending on the type of name, the following functions may be available:
- Applicant only
- Applicant/inventor (for natural persons only)
- Inventor only (for natural persons only)
- Agent
 Click the function you wish to add.
Figure 360: Selecting legal person as applicant only
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The lower list now contains the entry to be added to the Names tab.
 To add more names, select another entry from the Address Book and click the appropriate function.
 To delete a name from the list, select it and click Remove.
 To finish the address selection and transfer the data to the Names tab, click OK.
Figure 361: Selecting natural person as applicant/inventor
Adding names to the Address Book
If you entered address data manually after adding a name in the Names tab, the lower list in the Address Book
Exchange window displays this new address.
 Select the name in the list.
 Click Copy to Address Book.
Figure 362: Copying names from the form to the Address Book
The data is copied to the Address Book.
If an entry with the same name already exists in the Address Book, Online Filing creates a further entry.
 Note that not all data entered in your PCT/RO/101 form is transferred to the Address Book.
 Open the Address Book, verify and amend the data if necessary.
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Figure 363: New entry in the Address Book with data copied from the form
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PCT/RO/101 Priority
The Priority tab of PCT-RO-101 is for specifying details of an earlier application from which priority is claimed.
 Double-click the Add Priority Claim row or click Open.
Figure 364: Adding a priority claim
The Details of Priority Claim of Earlier Application window opens.
 Select the appropriate option: National, Regional or International (PCT).
 Select the country, the regional office or the receiving office where the earlier application was filed.
 Enter the filing date of the earlier application.
 Enter the application number that was assigned to the earlier application.
 For some offices, the required application number format is pre-filled into the data entry field, e.g.
PCT/IB____/______ if you select IB as the receiving office.
 To add another priority, click the + button on the left.
Figure 365: Entering details of priority claim of earlier application
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Options for requesting the International Bureau to obtain a certified copy of the earlier application
In the lower part of the Details window, you can select the method by which a certified copy of the earlier
application should be made available to the International Bureau.
The WIPO Digital Access Service (DAS) is an electronic system allowing priority documents and similar
documents to be securely exchanged between IP offices. For more information, go to the WIPO website at IP
Services > Patents > Digital Access Service and follow the shortcut to Participating Offices
(http://www.wipo.int/patentscope/en/priority_documents/offices.html). As of March 2012, the digital libraries
of the following countries are participating for notification both as depositing office and as accessing office: AU,
DK, CN, ES, FI, GB, IB, JP, KR, SE and US.
 If applicable, select The International Bureau is requested to obtain from a digital library a
certified copy of the above-identified earlier application.
A warning message appears, asking you to verify that the priority application can be retrieved by the receiving
office. Note that the message is different if the country is one of the countries participating in the DAS or if the
selected country is not a participating country.
 Enter the access code into the field which is displayed if the upper check box is ticked.
 Alternatively, select The receiving Office is requested to prepare and transmit to the International
Bureau a certified copy of the above-identified earlier application.
This is the appropriate option if you have e.g. chosen an EP priority, as the EPO does not participate in the
DAS (applies only to earlier applications treated by the EPO).
Request to restore the right of priority
A request for restoration of the right of priority can be filed where the international application has an international
filing date which is later than the date on which the priority period expired but within a period of two months from
that date (Rule 26bis 3).
 If applicable, tick the check box The receiving Office is requested to restore the right of priority.
 The option to add the related statement is automatically added to the Accompanying Items sub-tab of
the Contents tab. Please remember to attach the corresponding electronic document.
 To save your data and return to the Priority tab, click OK.
Other actions
The priority claims are automatically sorted chronologically.
 To delete a priority claim, right-click and select Cut from the shortcut menu.
 To move an individual priority to another position in the list, right-click it and select Cut from the shortcut
menu. Then right-click the priority before which you want to insert the priority and select Paste from the
shortcut menu.
 To return a list to the default sorting, select sort priority claims chronologically.
Figure 366: Shortcut menu options available in the priority claims list
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Validation messages
The check boxes in the Req. and Rest. columns indicate whether one of the options for requesting a certified
copy of the earlier application has been selected and if a request to restore the right of priority is being made.
 Please see the validation messages for information about additional documents required when adding any
one of these requests.
 If you cannot read the full text of the validation messages, open the Validation Log in the PDF Viewer, see
PCT/RO/101 Annotate (p. 348).
Figure 367: Validation messages referring to priority claims
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PCT/RO/101 Biology
The Biology tab is for providing information on biological material and indicating whether sequence listings are
part of the description of the international application.
Information on nucleotide and/or amino acid sequence listing
 If applicable, check the option The description contains a sequence listing.
 Attach the required documents in the Contents tab; see Sequence listing (p. 340) for more details. The
following options are automatically added to the form if the above is checked:
 In the International Application sub-tab:
- description (excluding sequence listings) replaces description
- sequence listing
 In the Accompanying Items sub-tab:
- sequence listing submitted for international search only
- statement confirming that "the information in Annex C/ST.25 text format submitted under Rule 13ter is
identical to the sequence listing as contained in the international application".
Adding indications relating to biological material
 Double-click the first row Open to add a new item or click Open.
Figure 368: Entering information on biological material
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The Details concerning Indications Relating to a Deposited Microorganism window opens.
 Enter the page and line or paragraph number of the reference in the description.
 Select the depositary institution (mandatory information) from the drop-down list.
The full address is automatically provided.
 Enter the accession number (mandatory information) and the date of deposit (mandatory information).
 If you want to supply extra documents regarding this biological material, specify the documents in the
Additional Indications field.
 The corresponding documents can be attached in the Accompanying Items (p. 338) sub-tab of the
Contents tab.
 In the Separate Furnishing of Indications field, specify the indications which you wish to supply by
separate cover.
 If required, modify the list of designated states; see the instructions under Applicant (p. 294).
Figure 369: Entering details for biological material
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PCT/RO/101 Declarations
The Declarations tab allows you to prepare separate declaration sheets for filing with the application. These
sheets contain the declarations as a default text, which is then complemented by additional data that is entered
by you.
 Select an option from the Declarations drop-down list.
 Click Add.
Figure 370: Declaration options
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Declaration as to the identity of the inventor
 In the Declarations tab, select Declaration as to the identity of the inventor from the drop-down list,
and then click Add.
The Declarations window opens.
 Double-click the Add Inventor row.
The Details concerning inventor window opens.
 In the Name field, select one of the inventors from the drop-down list.
 The deceased inventors are not available in the list.
The address data is automatically completed.
 To add another inventor, click the + button on the left.
 To specify an inventor whose name has not been added to the form, select <other> from the list and enter
the address data manually.
 Click OK when ready.
Figure 371: Inventor's details for declaration as to identity of the inventor
The inventor is added to the list in the Declarations window.
 Click OK to return to the Declarations main tab.
Figure 372: Declaration as to the identity of the inventor added
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Declaration as to applicant's entitlement to apply for and be granted a patent
 In the Declarations tab, select Declaration as to applicant's entitlement to apply for and be
granted a patent from the drop-down list, and then click Add.
The Declarations window opens.
 Select one of the applicants from the list.
 Double-click the Add item row.
Figure 373: Adding declaration as to applicant's entitlement to apply for and be granted a patent
The Status/Event window opens.
 Select the appropriate option from the list:
- Inventor
- Employer of an inventor
- Agreement
- Assignment
- Consent
- Court order
- Transfer of entitlement
- Change of the applicant's name
Depending on your selection, more options and data entry fields become available.
 Make the appropriate selections and supply the required data.
 Click OK when ready.
Figure 374: Selecting names for "employer of an inventor"
 Back in the Declarations window, click OK to return to the Declarations main tab.
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Declaration as to applicant's entitlement to claim priority
 In the Declarations tab, select Declaration as to applicant's entitlement to claim priority of earlier
application from the drop-down list, and then click Add.
The Declarations window opens.
 Select one of the applicants from the list.
 Select one of the priority applications from the list.
 Double-click the Add item row.
Figure 375: Selecting application for declaration as to applicant's entitlement to claim priority
The Status/Event window opens.
 Select the appropriate option from the list:
- Inventor
- Employer of an inventor
- Agreement
- Assignment
- Consent
- Court order
- Transfer of entitlement
- Change of the applicant's name
Depending on your selection, more options and data entry fields become available.
 Make the appropriate selections and supply the required data.
 Click OK when ready.
Figure 376: Adding agreement between persons involved in the international application
 Back in the Declarations window, click OK to return to the Declarations main tab.
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Declaration of inventorship
 In the Declarations tab, select Declaration of inventorship (only for the purposes of the USA) from
the drop-down list, and then click Add.
The Declarations window opens.
The Inventors table displays all inventors and applicants/inventors from the Names tab, except the
deceased inventors.
 To exclude one of the inventors from this declaration, right-click the corresponding name and select Delete
from the context menu.
 To specify an inventor whose name has not been added to the form, double-click Inventor.
Figure 377: Adding inventor for declaration of inventorship
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The Details concerning inventor window opens.
 Select <other> from the Name list.
 Enter the inventor's last name in BLOCK CAPITALS.
 Complete the address data.
 Click OK when ready.
Figure 378: Entering details concerning inventor for declaration of inventorship
 Back in the Declarations window, click Sign.
Figure 379: Starting the signature process for declaration of inventorship
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The List of Signatories window opens.
 Select an applicant/inventor and click Add Signatory.
 In the Signature window, enter an alphanumeric signature or attach a file with the facsimile signature.
 Click Apply Signature.
The signatory is added to the list.
 Create a signature for each applicant/inventor.
 Click OK to finish.
Figure 380: Adding signatories to declaration of inventorship
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Declaration as to non-prejudicial disclosures or exceptions to lack of novelty
 In the Declarations tab, select Declaration as to non-prejudicial disclosures or exceptions to lack
of novelty from the drop-down list and click Add.
The Declarations window opens.
 Select the applicant or inventor concerned from the list.
 Double-click the Add Disclosure row.
Figure 381: Adding declaration as to disclosures
The Disclosure window opens.
 Select the kind of disclosure from the drop-down list.
-ORSelect OTHER and then specify the kind of disclosure.
 Enter the corresponding data.
 Click the + button on the left to add another disclosure.
 Click OK when ready.
Figure 382: Entering data for disclosure
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Previewing declaration sheets
If you wish to verify your declaration data before submission, you can open the print preview of the declaration
sheets in the PDF Viewer.
 The Print declarations button becomes available after the submission process, when you open the
application from the Sent folder in the File Manager.
 In the Declarations main tab, double-click on any of the declarations in the list.
-ORClick Open.
Figure 383: List of declarations
The Declarations window opens.
 Click the Preview icon in the toolbar.
Figure 384: Opening the PDF Viewer from the Declarations window
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The PDF Viewer opens and shows all the declaration sheets for this application, starting with declaration no. 1.
 Browse the pages to see the following declarations.
 Use the PDF Viewer's print button to create a hard copy of the declarations.
 Click Cancel when finished.
Figure 385: Previewing declaration sheets in the PDF viewer
The PDF Viewer closes.
 Click OK to return to the Declarations main tab.
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PCT/RO/101 Contents
The Contents tab of form PCT/RO/101 is where you attach documents to support the patent application.
See Preparing documents for attachment (p. 91) in the EPO Online Filing user guide for more information
about the correct settings for electronic documents.
The Contents tab provides two sub-tabs for attaching documents:
 International Application
Attaching the mandatory patent specification documents and other recommended files
 Accompanying Items
Attaching additional documents
Figure 386: Contents tab with "International Application" and "Accompanying Items" sub-tabs
Validation messages
A red traffic light indicates that one or more mandatory documents have not yet been attached.
 Click the validation icon to see the corresponding validation messages.
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Attaching documents
The attachment process is basically the same for all document types. The example below shows how to attach a
PDF file. The option PDF attachments is selected by default when you open the Contents tab. See XML
attachments (p. 335) for an example of how to attach XML files.
 Double-click a document option in the check list, e.g. Description.
-ORSelect the document option and click Open.
The Content Details window opens. All document attachments for this application are listed on the left, with the
currently selected item being highlighted.
 To select a file from your computer, click the Open button on the right.
Figure 387: Attaching files in the Content Details window
 In the Open window, navigate to the storage location of the corresponding file.
 Select the appropriate file format in the files of type list.
 The available file types depend on the type of document you want to attach. The default type for text
documents is Portable Document Format and the alternative is TIFF files, i.e. images in TIFF format.
When attaching sequence listing documents, the options ASCII Text (*.txt) and Annex C/ST.25 files
(*.app) become available.
 Select the required file.
 Click Open.
Figure 388: Selecting PDF file for attachment
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The file is attached and it retains its name in lower case in the Content Details window.
The number of pages is calculated automatically when a PDF file is attached.
 If you attach a TIFF or JPEG file, e.g. a drawing, please enter the number of pages manually (1, in most
cases).
 Otherwise, the software will not recognise the attachment.
 If you want to attach other files, select the corresponding document type on the left and repeat the described
procedure until all required documents are attached; see PDF attachments (p. 329).
 Click OK when ready.
Figure 389: Electronic file is attached
Exchanging and removing attached files
If an original document has been modified, you can reattach the updated file to your application.
 In the Contents tab, double-click a document to open it.
The Content Details window opens.
 To reattach a file, click the Open button and select the corresponding file once again.
The new file from your computer replaces the existing attachment in the application.
 To remove the file without attaching a new one, click Reset.
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International Application
The International Application sub-tab provides different options and preconditions for document attachment.
 PDF attachment is selected by default. Use this option to attach the description, claims, drawings and
abstract as separate PDF files.
 Select Single specification file if you have prepared one single PDF file containing the description, claims
and abstract. Note that drawings cannot be included in a single specification file. They should be added
separately if required.
 Select XML attachments if you have prepared the specification document in XML format, e.g. with PatXML.
Document check list for PDF attachments





Description
Claims
Abstract
Drawings
Pre-conversion archive (optional, but strongly recommended; becomes available after one of the specification
documents has been attached)
Document check list for PDF attachments if description contains a sequence listing
If the option The description contains a sequence listing is checked in the Biology tab, the document
check list is slightly different:
 Description (excluding sequence listing)
 Claims
 Abstract
 Drawings
 Sequence listing (should be attached in ST.25 standard, i.e. as ASCII text (*.txt) or Annex C/ST.25 (*.app)
file)
 Pre-conversion archive (optional, but strongly recommended; becomes available after one of the specification
documents has been attached)
Document check list for PDF attachments, single specification file
 Specification
 Drawings
 Pre-conversion archive (optional, but strongly recommended; becomes available after one of the specification
documents has been attached)
Document check list for XML attachments
 Application body
 Pre-conversion archive (optional; becomes available after the XML specification file has been attached)
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PDF attachments
Attaching separate PDF files for each part of the patent document is recommended as the most convenient
procedure.
 The description and claims are mandatory.
 The abstract can be filed subsequently, but it is recommended to include it with the application.
 Drawings can also be added, if applicable.
Description
 In the International Application sub-tab of the Contents tab, double-click Description.
 The Content Details window opens.
 Click the Open button, navigate to the appropriate file and attach it.
Claims
!
Note: Once the Content Details window is open, you can immediately proceed to attach all other
documents one after the other. You are not required to return to the Contents main tab.
 In the list on the left-hand side of the Content Details window, click Claims.
 Click the Open button, navigate to the claims file and attach it.
Abstract
 Click Abstract on the left.
 Click the Open button, navigate to the appropriate file and attach it.
 Select the Language of the abstract.
The available options are English, French and German.
Figure 390: Abstract attached
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Drawings
Click Drawings on the left.
Click the Open button, navigate to the appropriate file and attach it.
Enter the Figure of the drawings which should accompany the abstract.
If applicable, select Yes under The figure of the drawings which should accompany the abstract
contains text.
 Enter the text in the Drawing Text box.
 Click OK to return to the Contents main tab.




Figure 391: Drawings attached
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Summary
The software automatically calculates the total number of pages in the International Application sub-tab.
The fields showing the total number of documents and number of files at the bottom of this screen summarise
all attachments, in both the International Application and Accompanying Items sub-tabs.
When all the attached documents show a green traffic light, everything is correct.
Figure 392: All required documents are properly attached
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Single specification file (PDF)
The following rules apply when preparing a single specification file:
 All pages in the document must be accounted for and there must be no overlaps.
 Every element in the attached document must start on a new page.
 The order of the individual components should be: description, claims, abstract.
If your PDF file does not correspond to these requirements, you may not be able to enter the data appropriately
and will receive corresponding validation warnings.
Attaching the specification
 In the Contents tab, tick the check box Single specification file.
 Double-click Specification.
Figure 393: Attaching single specification file in PDF format
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The Content Details window opens.
 Click the Open button, navigate to the PDF file and attach it.
 Enter the first page and last page of the description.
 Enter the first page and last page of the claims.
 Enter the first page and last page of the abstract.
 Select the Language of the abstract.
The number of pages for each document section and the total number of pages is calculated automatically.
 Check whether the number of pages contained in the PDF file equals the total number of pages.
 To view the corresponding section of the single document, e.g. the claims, click the Preview icon next to the
page numbers on the right.
Figure 394: Specification file attached and page numbers of document sections entered
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Further options
 If you intend not to submit the abstract at this time, tick the check box abstract is not included.
This action deactivates the options referring to the abstract.
 Note the validation message, informing you that the abstract is required.
 Click Drawings on the left to attach the drawings separately; see PDF attachments (p. 329).
Figure 395: "Abstract is not included" option triggers a corresponding validation message
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XML attachments
If you produce the specification document in XML format, e.g. with PatXML, you can insert graphics into the text.
All graphic files must be prepared in WIPO Annex F compliant format. The graphics are stored as separate
image files and referenced in the XML code.
 A full version of Annex F can be found on the WIPO website at IP Services > PCT > Legal Texts
(http://www.wipo.int/pct/en/texts/).
 In the Contents tab, select the option XML attachments.
 Double-click Application body.
Figure 396: Attaching specification document as XML file
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The Content Details window opens.
 Click the Open button.
 Navigate to the XML specification file.
 Only PatXML files can be selected.
 Select the PatXML file and click Open.
Figure 397: Selecting the specification document as PatXML file
The file is renamed application-body.xml.
If the language attribute in the XML file does not match the language indicated in the Request tab, a warning
message to this effect will be displayed.
 Please make sure that you entered the correct language in both the PatXML file and the Request tab.
Figure 398: Warning message if language attribute mismatch occurs
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 Enter the figure of the drawings which should accompany the abstract, if applicable.
The number of pages is calculated automatically from the PatXML file.
 Click the Preview icon to check whether the specification document is displayed correctly, including the
images.
 Click OK when ready.
Figure 399: Application body XML file successfully attached
The green traffic lights in the Contents tab indicate that all the required documents have been properly
attached.
 Note that the Pre-conversion archive option is now available.
Figure 400: Green traffic light for the Contents tab
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Accompanying Items
In the Accompanying Items sub-tab you attach all the other attachments which do not relate to the main
application body. These include documents such as statements, translations and powers of attorney.
The available document types for attachment are:
 original separate power of attorney
 original general power of attorney
 copy of general power of attorney
 translation of international application into ...
 separate indications concerning deposited microorganisms or other biological material
 sequence listing submitted for international search only
 statement confirming that "the information in Annex C/ST.25 text format submitted under Rule 13ter is
identical to the sequence listing as contained in the international application"
 OTHER
System files, such as the fee calculation sheet and the original separate power of attorney document in
XML format, are generated automatically by the software and do not require extra input from your side.
Attaching predefined document types
 Go to the Accompanying Items sub-tab.
 Select the appropriate document type from the drop-down list, e.g. original general power of attorney.
Figure 401: Selecting document type for attachment in the Accompanying items sub-tab
 Then click Add.
Figure 402: Adding selected document type to the application
A new item is created in the document check list.
 Double-click this document to open the Content Details window.
Figure 403: Opening the document for attachment
 Click the Open button, navigate to the corresponding file and attach it.
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Figure 404: Original general power of attorney attached
Attaching other user-defined document types
 Select OTHER from the drop-down list.
 The text becomes editable and reads <specify>.
Figure 405: Other document to be specified
 Enter a document description.
 Click Add.
Figure 406: Description for other document entered
The new item is created in the document check list.
Figure 407: Other document added to the application; can be opened for attachment
 Attach the file in the Content Details window as described above.
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Statement for restoration of the right of priority
If you have requested the restoration of the right of priority for one of the priority claims, you are required to
attach a separate statement. This item is also automatically created in the check list in the Accompanying
items tab. The numbering refers to the numbering sequence of the priorities in the Priority tab.
 Double-click the statement for restoration of the right of priority to attach the corresponding file.
The Accompanying Items tab is ready when all the traffic lights are green.
Figure 408: All documents are appropriately attached
10.8.6
Sequence listing
Form PCT/RO/101 provides two different options for attaching sequences listings; see also PCT/RO/101 Biology
(p. 313).
(A) The description contains a sequence listing option IS selected in the Biology tab:
 Attaching a sequence listing in the International Application sub-tab is mandatory.
 If this sequence listing is NOT attached in Annex C/ST.25 format, two more options become available in the
Accompanying Items sub-tab:
- The sequence listing submitted for international search only is required, but not mandatory for
the initial submission.
- The statement confirming that "the information in Annex C/ST.25 text format submitted
under Rule 13ter is identical to the sequence listing as contained in the international
application" is required, but not mandatory for the initial submission.
(B) The description contains a sequence listing option is NOT selected in the Biology tab:
 Adding the document type sequence listing submitted for international search only in the
Accompanying Items sub-tab is optional.
!
Note: Sequence listings should always be submitted in computer readable format, i.e. as Annex
C/ST.25 files (*.app) file. Other possible formats are TXT, PDF and TIFF. However, when
attaching one of these file types a corresponding validation message will inform you that the ISA
may require a sequence listing compliant with WIPO Annex C/ST.25. If filed as PDF every page of
the sequence listing will be counted in the total number of pages of the international application
and for the calculation of the fees per page over 30.
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(A) Sequence listing as part of the description
 Go to the International Application tab.
 Double-click Sequence listing.
 Scroll down the list if you cannot see the item.
Figure 409: Selecting sequence listing for attachment
The Contents Details window opens.
 Tick the check box submitted as part of description under Electronic file.
This unlocks the other fields for editing.
 Click the Open button and attach the file.
If the attachment format is APP or TXT, the text below the Number of pages field is activated, i.e. it is true for
this application.
Figure 410: The sequence listing submitted as part of the description in APP or TXT format will also be used for the purposes
of the international search
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Otherwise, i.e. if you have used PDF or TIFF format for your attachment, this text remains greyed out. In this
case you are required to submit the two additional documents relating to the sequence listing:
 sequence listing submitted for international search only
 statement confirming that "the information in Annex C/ST.25 text format submitted under Rule 13ter is
identical to the sequence listing as contained in the international application"
Figure 411: Sequence listing attached in PDF format, additional documents for international search required
(B) Sequence listing for international search only
 Go to the Accompanying Items sub-tab.
 Select sequence listing submitted for international search only from the drop-down list.
 Click Add.
Figure 412: Adding sequence listing for international search only to the documents
The item is added to the check list.
 Double-click sequence listing ... to open the Content Details window.
Figure 413: Opening sequence listing for international search to attach electronic file
 Attach the file.
 You may select any of the available file types: TXT, PDF, APP or TIFF.
 Click OK when ready.
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Pre-conversion archive
Once you have attached a document in the Contents tab, the Pre-conversion archive appears as an item in
the check list.
The pre-conversion archive option allows you to add your original documents, before PDF or XML
conversion, in a compressed ZIP format. This may be helpful if you wish to provide the EPO with your original
documents in colour. The documents contained in the ZIP file will not be publicly available nor will they be an
integral part of the visible internal procedural file, but they can be accessed for reference, e.g. in the event of
quality issues.
!
Note: The EPO does not recognise documents as legally binding if they are exclusively filed as
part of a ZIP archive. To be accepted as legally binding filings, the official patent documents must
always be attached in PDF or ST.25 format under the correct document type.
 Double-click Pre-conversion archive in the International Application sub-tab.
Figure 414: Opening the pre-conversion archive option to attach a ZIP file
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 In the Content Details window, click the Open button and attach the ZIP file.
 Click the Preview icon to check the contents of the pre-conversion archive.
Figure 415: Pre-conversion archive attached
The attached ZIP archive is opened as a temporary folder in Windows Explorer.
Figure 416: Previewing the contents of the pre-conversion archive
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PCT/RO/101 Fees
The Fees tab of PCT/RO/101 displays the fees and amounts due. These are calculated automatically from the
data in other tabs.
Applying a fee schedule
As a default, the Fee Calculation table does not contain any fee amounts or totals and the fee schedule is set
to None.
The default currency when filing with the EPO is EUR.
 To define fee amounts, select a valid fee schedule from the drop-down list.
Figure 417: Selecting a fee schedule
The fee amount fields are populated and the Total Fees Payable is calculated.
 Note that reductions are displayed as negative amounts in red.
Figure 418: Fee calculation table filled in and total fees payable calculated
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Editing fees
If required, individual fee amounts can be edited.
 Click the fee amount to be edited until the background of the table cell changes from blue to white.
 Edit the value.
Figure 419: Editing a fee amount
 Click away from the edited field to save the new amount.
The Total for the modified fee and the Total Fees Payable value are recalculated automatically.
Figure 420: Fee calculation updated after a fee amount has been edited
The Update fee schedule button is activated after a fee has been edited.
!
Note: If you click the Update fee schedule button, the new fee amount will be copied to the fee
management table in the Online Filing database. As a result, all PCT/RO/101 applications created
subsequently will use this new fee amount instead of the original fee amount issued by the EPO. If
you wish to restore the original fee from the EPO's official fee schedule at a later stage, you will
need to edit the fee amount manually again and save it using the same button if required.
Previewing the fee calculation sheet
 Go to the Contents tab and click the Accompanying Items sub-tab.
 Double-click fee calculation sheet.
 In the Content Details window, click the Preview icon.
The fee calculation sheet is displayed in the PDF Viewer.
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10.10 PCT/RO/101 Payment
The Payment tab of PCT/RO/101 is where you specify the mode of payment and give details of the account
number and account holder.
The EPO as receiving office can only receive payments made by charging current accounts (i.e. EPO deposit
accounts) or by bank transfer.
Payment from an EPO deposit account
 Select authorization to charge current account as the Mode of Payment.
The check boxes for authorisation of the receiving office are selected by default.
 De-select the options which should not apply for your application.
 Enter the Current account number.
 EPO account numbers consist of 8 digits and start with 28.
 Enter the Authorized User Name.
 Click Sign.
Figure 421: Entering authorisation for payment from deposit account
The Signature window opens; see also Power of attorney document (p. 303).
 Enter an alphanumeric signature or attach a file for a facsimile signature and click Apply Signature.
 After the signature has been applied, the traffic lights for the Payment tab change to green.
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10.11 PCT/RO/101 Annotate
The Annotate tab is where you can see all the notes and comments that have been made for this application.
 A remark is a comment intended for the EPO and is part of the data submitted.
 A private remark is for internal use only and is not transmitted to the EPO.
The Annotate tab also contains the Validation Log with all the validation messages for the application. The
Entity column indicates the tab relating to each item, i.e. in which tab the annotation was created.
Figure 422: Remarks, private remarks, validation log and other annotations in the Annotate tab
Adding annotations referring to the application in general
 To create a new annotation, select the appropriate category from the drop-down list.
 Click Add.
Figure 423: Adding a new remark
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The Annotation edit dialog window opens.
 Enter your text.
 To view the other annotations, click the corresponding item on the left or browse through the list by clicking
the up and down arrows.
 Click OK to save the entry.
Figure 424: Creating a new remark
The remarks intended for the receiving office can be found in section 13 at the end of the PCT form.
Figure 425: Applicant remarks in the form preview
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Adding annotations referring to specific tabs
Remarks and private remarks can be created not only in the Annotate tab, but also in most of the other tabs of
Form PCT/RO/101. Wherever this function is enabled, it is accessible from the shortcut menu.
 For example, to add a private remark right-click the Add Priority Claim item in the Priority tab and select
Private Remark from the shortcut menu.
Figure 426: Adding a private remark referring to priority claims
Viewing the Validation Log
 In the Annotate tab, double-click Validation Log.
The Annotation edit dialog window opens.
The validation messages are grouped and ordered by the form sections.
 Scroll through the list to read the messages.
Figure 427: Viewing the Validation Log
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 If you cannot read the full text of the validation messages, click the Preview icon.
 The Validation Log opens in the PDF Viewer.
Figure 428: Validation Log showing messages
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Designating inventor for certain states only
As with the applicant, you can edit the list of designated states for the inventor, although this is quite unusual and
seldom used.
 In the Annotate tab, select Inventor(s) for certain designated States only from the drop-down list.
 Click Add.
The Annotation edit dialog window lists the names of the existing inventors and the designated states
concerned.
 To edit the states for an inventor, double-click the inventor's name.
Figure 429: Editing designated states for an inventor
The View/Change States window opens.
 Select the countries as appropriate; see the instructions under Applicant (p. 294).
The selected states are displayed in the list of inventors.
Figure 430: Designated states selected for one of the inventors
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10.12 Processing the PCT/RO/101 application
Once all required data has been entered and the appropriate documents attached, the application is ready for
submission to the EPO.
In the toolbar, the Sign icon and the Save as Ready for Signing icon are now activated, and all the traffic
lights show green.
 Applications can also be filed if some of the traffic lights are yellow, provided that the user is satisfied that all
the information required at the time of filing has been supplied and attached.
Figure 431: Application is ready for signing
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Signing the form
Depending on the settings in the File Manager's User Preferences (see Confirmations (p. 57)), you can launch
the signing process immediately from the PCT/RO/101 form or by using the workflow buttons in the File
Manager.
The option Start signing immediately when moving application forward from draft status triggers the
following behaviour:
 If that option IS NOT selected (default), both the Sign button and the Save as Ready for Signing button
will move the application to the Ready to sign status. You can then start the signing process from the File
Manager.
 If that option IS selected, the Sign button prepares the application for signature and opens the signing
dialogue immediately.
Preparing the form for signature (default setting)
 Click the Save as Ready for Signing button in the form toolbar.
Figure 432: Starting the signing process from the form
Preparation for submission now starts.
 If required, you can modify the User Reference here.
 Select online (default option) as the Method of Submission.
 Click Continue.
Figure 433: Preparing the application for submission
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The data is saved, the form is rendered and the files are compressed and stored in the database.
 Click Continue.
The form closes and you are returned to the File Manager.
Figure 434: The application data has been prepared for submission
Signing from the File Manager
The form is now in Ready to sign status.
 Select the application and click the Next button (the tool-tip says "Sign").
Figure 435: Launching the signing process from the File Manager
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The PDF Viewer opens.
 Click Sign Now in the bottom right-hand corner.
 Proceed as described in Signing applications (p. 93) in the Online Filing user guide or in the File Manager
online help.
!
Note: The two fields ePCT Customer ID and ePCT eOwnership code are optional. These data
are only relevant for EPO Online Filing users having registered an account for the ePCT private
services run by WIPO. For more information, see the WIPO website at IP Services > PCT > ePCT
> FAQ (http://www.wipo.int/pct/en/epct/pdf/pct_wipo_accounts_faq.pdf).
Figure 436: Representative signing the PCT/RO/101 application with his smart card
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Sending the form
In the File Manager, the application is in Ready to send status.
 Select the application and click the Next workflow button (the tool-tip says "Send").
 Proceed as described in Sending applications (p. 107) in the Online Filing user guide or in the File Manager
online help.
Figure 437: The application has moved from "Draft" to "Ready to send" status in the File Manager
Viewing submission information and the receipt
After the application has been sent, you can view it from the File Manager. Both the submission information and
the acknowledgement of receipt can be opened from the Annotate tab.
Figure 438: Submission details and receipt information available in the Annotate tab
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Exporting and importing a form
For full instructions on exporting and importing applications via the File Manager and the Server Manager, see
Exporting data from Online Filing (p. 110) and Importing data into Online Filing (p. 116) in the Online Filing
user guide or in the File Manager online help.
If you want to export a single application from the PCT/RO/101 form view, use one of the following export options
available in the File menu:
Figure 439: Export options in the File menu
Export unpacked WAD to ...
Attachments and data are rendered to XML, PDF, JPG and TXT files and are exported into an existing folder on
your computer. The Pct101.PDF file is the application form.
 WAD stands for "wrapped application documents".
Export WAD to ...
The same data as above is packed into a ZIP archive file and stored in the selected location.
Figure 440: PCT/RO/101 application exported to WAD
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Export file package ...
This option corresponds to the Export Forms option in the File Manager. It creates a ZIP archive containing the
application form, the attached files and the accompanying items as XML and PDF files.
 Note that the text you entered for the figure accompanying the abstract is saved in a separate draw.txt file.
Figure 441: PCT/RO/101 application exported as file package
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EPO Online Filing 5.08 – User Guide
11 PCT-SFD
11 PCT-SFD
You can use Form PCT-SFD to file documents submitted after the filing of an international application under the
Patent Cooperation Treaty (PCT). You can also use it to select the fees for the subsequently filed documents and
the way you want to pay them. For more information about the PCT, see the WIPO website at IP Services >
PCT System > Treaty (http://www.wipo.int/pct/en/treaty/about.html).
!
Note: This document focuses on the EPO acting as receiving Office (RO), International Searching
Authority (ISA), International Preliminary Examining Authority (IPEA) or Supplementary
International Searching Authority (SISA).
Minimum requirements for subsequent filing with Form PCT-SFD
When filing with Form PCT-SFD, at least one of the following actions must be performed:
1. attach a document
2. select a fee payment and a mode of payment
3. write an annotation.
Completing Form PCT-SFD
Form PCT-SFD is organised into five tabs. The capacity in which the EPO is acting is selected in the
Application tab and this governs the options in the Documents and Fee Payment tabs. This is why you must
start with the Application tab.
Tab
What you can do
Application
Select filing office and capacity in which it is acting, enter details of the PCT
application to which the subsequently filed document(s) belong(s).
Names
Enter details on applicant and contact person.
 If the EPO is selected as the filing office in the Application tab, no data needs to
be entered in the Names tab. The option for adding persons to the form will be
disabled.
Documents
Attach the subsequently filed document(s).
Fee Payment
Select fees and enter the mode of payment.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 442: The "Filing Office" is a mandatory field in the "Application" tab and is marked with a red triangle
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Elements in Form PCT-SFD
Figure 443: Form PCT-SFD - Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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PCT-SFD – Application
The Application tab is where you select the filing office and enter basic information about the international
application for which the subsequently filed documents (SFD) are being filed.
The Application tab contains two sections:
 Filing office and capacity in which it is acting
 Past record
11.1.1
Filing office and capacity in which it is acting
This document outlines the use of Form PCT-SFD when the EPO is selected as the filing office. For information
specific to one of the other filing offices, please refer to the national patent office concerned.
 Select the EPO as filing office, either by entering the two-letter code EP into the first field or by selecting
European Patent Office from the drop-down list.
 Select the appropriate option from the Capacity drop-down list:
- Receiving Office (RO)
- International Searching Authority (ISA)
- International Preliminary Examining Authority (IPEA)
- Supplementary International Searching Authority (SISA)
Figure 444: Selecting the EPO as filing office and selecting the capacity in which it is to act
Note:
 The types of documents that can be attached depend on the capacity in which the filing office is acting.
 You cannot attach documents before you have selected the filing office and the capacity in which it is to act.
 If you change the capacity in which the filing office is to act after you have attached documents, these will be
detached.
 If you wish to file SFD to the EPO acting in a different capacity, please submit them as a separate filing.
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Past record
The Past Record section provides entry fields for details of the international PCT application to which the SFD
relate(s).
 Clicking on the calendar icon on the right of the date boxes will open a calendar from which you can select
the date.
 Enter the international application number of the PCT application.
This information is mandatory.
 Enter the international filing date of the PCT application.
This information is mandatory.
 If the year of filing is different from the year in the PCT application number, a yellow validation icon is
displayed. You can file your application to the EPO nevertheless, but please ensure that the data you enter is
correct.
 If a priority has been claimed for the PCT application, enter the (earliest) priority date (optional).
 Enter the title of the invention exactly as specified in the PCT application (usually in block capitals).
This information is mandatory.
Once you have entered all the mandatory information, the red validation symbol will disappear from the
Application tab in the navigation bar. However, a yellow validation icon is displayed if you do not supply the
(earliest) priority date.
Figure 445: Entering details on the PCT application to which the subsequently filed documents relate
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PCT-SFD – Names
If the EPO has been selected as the filing office in the Application tab, no data needs to be entered in the
Names tab. The Add button is disabled and a grey validation icon draws your attention to the relevant validation
message.
!
Note: If you want to specify details of any additions, changes or replacements to the parties to the
application, please draft a letter to the EPO, have it signed and convert it into PDF. Then go to the
Documents tab and attach the file under the appropriate category.
11.3
PCT-SFD – Documents
The Documents tab of Form PCT-SFD is where you attach documents subsequent to your original filing. The
attachment options are determined by the capacity in which the filing office is acting, as selected in the
Application tab. As a result, specific document categories and document types become available in the
Documents tab.
!
Note: Signing a PCT-SFD application in Online Filing does not automatically apply a signature to
the attached documents. Before attaching the PDF files, you should therefore make sure that each
document has been duly signed by the relevant person.
The following sections provide an overview of the document categories and document types applicable when
filing with the EPO as:
 Receiving Office (RO)
 International Searching Authority (ISA)
 International Preliminary Examining Authority (IPEA)
 Supplementary International Searching Authority (SISA)
 Specific document types cannot be filed with the EPO although it is possible to attach them; see the sections
below for details.
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Documents filed with the Receiving Office (RO)
Note: This list contains document types printed in italics and marked with the symbol [N].
Although these document types are options presented in Form PCT-SFD of the Online Filing
software, they cannot be filed with the EPO. If you select one of these document types when
attaching files to your application, a red validation icon will appear in the Documents tab. The
related validation message informs you which of the attached documents should be removed.
Correction of defects (Article 11)
www.wipo.int/pct/en/texts/articles/a11.htm
-
Letter accompanying the replacement sheet(s)
Missing claims
Missing description
Missing drawings or part thereof
Missing part of claims
Missing part of description
Correction and missing parts (Article 14)
www.wipo.int/pct/en/texts/articles/a14.htm
-
Later filed abstract
Letter accompanying the replacement sheet(s)
Missing signature (Letter)
Missing title (Letter)
Rectification of obvious mistakes (Rule 91)
www.wipo.int/pct/en/texts/rules/r91.htm
-
Letter accompanying the rectification of obvious mistakes
Rectified request
Undefined rectification
Translations
PCT Rule 12, www.wipo.int/pct/en/texts/rules/r12.htm
-
Translation of priority document
Translation of the abstract
Translation of the international application
Translation of the textual parts of the drawings
Changes to indications in the request (Rule 92bis)
www.wipo.int/pct/en/texts/rules/r92bis.htm
-
Changes to person, name or address of the agent
Changes to person, name or address of the common representative
Changes to person, name or address of the inventor
Changes to person, name, residence, nationality or address of the applicant
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Expressions, etc., not to be used (Rule 9)
www.wipo.int/pct/en/texts/rules/r9.htm
-
Amended abstract removing matter disallowed
Amended claims removing matter disallowed
Amended description removing matter disallowed
Amended drawings removing matter disallowed
Letter accompanying the replacement sheet(s)
Undefined correction
Priorities (Rules 17 and 26bis)
www.wipo.int/pct/en/texts/rules/r17.htm
www.wipo.int/pct/en/texts/rules/r26bis.htm
-
Correction or addition of a priority claim
Request for restoration of priority rights (including evidence and witness statement)
[N] Request to make the priority document available in WIPO Digital Access Service (DAS)
Later filed documents
 Later filed sequence listings can only be filed with the EPO in computer-readable format. Please select
either ST25 or ASCII Text as the file type when attaching the file to the application.
- Agent's letter
- Declarations
- Micro-organisms form BP/4: acknowledgement of receipt by the IDA
- Micro-organisms form BP/9: viability statement
www.wipo.int/export/sites/www/treaties/en/registration/budapest/guide/pdf/app3_budapest_forms.
pdf
-
Micro-organisms form RO/134
www.wipo.int/export/sites/www/pct/en/forms/ro/editable/ed_ro134.pdf
[N] Request for certification of international application registration data
Request for certified copies of the international application
Sequence listings
Earlier search (Rule 12bis)
www.wipo.int/pct/en/texts/rules/r12bis.htm
-
Application for which earlier search was performed
Cited documents in earlier search
Results of earlier search
Translation of application for which earlier search was performed
Translation of result of earlier search
Regarding payment of fees
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
- [N] Fee payment receipt (RO/ES only)
-
Letter regarding payment of fees
Request for refund of undue fees
Assignment
PCT Rule 92bis, www.wipo.int/pct/en/texts/rules/r92bis.htm
-
Assignment
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Power of attorney
PCT Rule 90, www.wipo.int/pct/en/texts/rules/r90.htm
-
Power of attorney
Request for extension of time limit
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
Request for extension of time limit
Incorporation by reference
PCT Rule 20, www.wipo.int/pct/en/texts/rules/r20.htm
-
Copy of earlier application/priority document (for incorporation by reference)
Copy of translation of earlier application/priority document (for incorporation by reference)
New claims for incorporation by reference (Rule 20.6)
New description for incorporation by reference (Rule 20.6)
New drawings for incorporation by reference (Rule 20.6)
New sequence listings for incorporation by reference (Rule 20.6)
Notice confirming incorporation by reference of missing elements and parts
Substitute sheets (Rule 26)
www.wipo.int/pct/en/texts/rules/r26.htm
-
Letter accompanying the replacement sheet(s)
Substitute sheet(s) abstract (Rule 26)
Substitute sheet(s) claims (Rule 26)
Substitute sheet(s) description (Rule 26)
Substitute sheet(s) drawings (Rule 26)
Substitute sheet(s) request (Rule 26)
Withdrawals (Rule 90bis)
www.wipo.int/pct/en/texts/rules/r90bis.htm
-
Withdrawal of application
Withdrawal of designation
Withdrawal of priority claim
Other document
Communication in cases for which no other form is applicable
- Reply to any other invitation or notification (Form PCT/RO/132)
www.wipo.int/export/sites/www/pct/en/forms/ro/editable/ed_ro132.pdf
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Documents filed with the International Searching Authority (ISA)
Note: This list contains document types printed in italics and marked with the symbol [N].
Although these document types are options presented in Form PCT-SFD of the Online Filing
software, they cannot be filed with the EPO. If you select one of these document types when
attaching files to your application, a red validation icon will appear in the Documents tab. The
related validation message informs you which of the attached documents should be removed.
Rectification of obvious mistakes (Rule 91)
www.wipo.int/pct/en/texts/rules/r91.htm
-
Letter accompanying the replacement sheet(s)
[N] Rectification to amended claims
[N] Rectification to amended description
[N] Rectification to amended drawings
[N] Rectification to amended sequence listing part of the description
Rectified claims
Rectified description
Rectified drawings
Rectified sequence listing part of the description
[N] Undefined rectification
Earlier search (Rule 12bis)
www.wipo.int/pct/en/texts/rules/r12bis.htm
-
Application for which earlier search was performed
Cited documents in earlier search
Results of earlier search
Translation of application for which earlier search was performed
Translation of result of earlier search
Later furnished sequence listing (Rule 13ter)
PCT Rule 13ter.2, www.wipo.int/pct/en/texts/rules/r13ter.htm
 Later filed sequence listings can only be filed with the EPO in computer-readable format. Please select
either ST25 or ASCII Text as the file type when attaching the file to the application.
- Late furnished nucleotide and/or amino acid sequence
- Letter regarding the sequence listing
- Statement concerning the sequence listing
Lack of unity of invention (Rule 40)
www.wipo.int/pct/en/texts/rules/r40.htm
-
Reply to invitation to pay additional fees due to lack of unity of invention
Request to review the opinion regarding the lack of unity of the invention
Regarding payment of fees
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
[N] Fee payment receipt (ISA/ES only)
-
Letter regarding payment of fees
[N] Request for refund of undue fees
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Power of attorney
PCT Rule 90, www.wipo.int/pct/en/texts/rules/r90.htm
-
Power of attorney
Assignment
PCT Rule 92bis, www.wipo.int/pct/en/texts/rules/r92bis.htm
-
[N] Assignment
Request for extension of time limit
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
Request for extension of time limit
Comments regarding abstract
PCT Rule 38.3, www.wipo.int/pct/en/texts/rules/r38.htm#_38_3
-
Comments regarding the abstract
Sequence listing free text (Rule 5.2b)
www.wipo.int/pct/en/texts/rules/r5.htm#_5_2_b
-
Amended description with sequence listing free text added
Letter accompanying the replacement sheet(s)
Other document
Communication in cases for which no other form is applicable
- Reply to any other invitation or notification (Form PCT/ISA/224)
www.wipo.int/export/sites/www/pct/en/forms/isa/isa224.pdf
11.3.3
!
Documents filed with the International Preliminary Examining Authority
(IPEA)
Note: This list contains document types printed in italics and marked with the symbol [N].
Although these document types are options presented in Form PCT-SFD of the Online Filing
software, they cannot be filed with the EPO. If you select one of these document types when
attaching files to your application, a red validation icon will appear in the Documents tab. The
related validation message informs you which of the attached documents should be removed.
Rectification of obvious mistakes (Rule 91)
www.wipo.int/pct/en/texts/rules/r91.htm
-
Letter accompanying the rectification of obvious mistakes
Rectification of indeterminate type
Rectification to amended claims
Rectification to amended description
Rectification to amended drawings
Rectification to amended sequence listing
Rectified claims
Rectified description
Rectified drawings
Rectified sequence listing
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Amendments (Article 34 and Rule 60.1(g))
www.wipo.int/pct/en/texts/articles/a34.htm
www.wipo.int/pct/en/texts/rules/r60.htm#_60_1_g
-
Amended claims
Amended description
Amended drawings
Amended sequence listing
Letter accompanying the replacement sheet(s)
Statement concerning the sequence listing
Translations
PCT Rule 12, www.wipo.int/pct/en/texts/rules/r12.htm
-
Translation of amendments
Translation of priority document
Translation of the application and/or corrections
Earlier search
PCT Rule 12bis, www.wipo.int/pct/en/texts/rules/r12bis.htm
-
Application for which earlier search was performed
Cited documents in earlier search
Results of earlier search
Translation of application for which earlier search was performed
Translation of result of earlier search
Later furnished sequence listing (Rule 13ter)
www.wipo.int/pct/en/texts/rules/r13ter.htm
 Later filed sequence listings can only be filed with the EPO in computer-readable format. Please select
either ST25 or ASCII Text as the file type when attaching the file to the application.
- Late furnished nucleotide and/or amino acid sequence
- Letter regarding the sequence listing
- Statement concerning the sequence listing
Lack of unity of invention (Rule 68)
www.wipo.int/pct/en/texts/rules/r68.htm
-
Reply to invitation to pay additional fees due to lack of unity of invention
Request to review the opinion regarding the lack of unity of the invention
Regarding payment of fees
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
[N] Fee payment receipt (IPEA/ES only)
Letter regarding payment of fees
Request for refund of undue fees
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Withdrawals (Rule 90bis)
www.wipo.int/pct/en/texts/rules/r90bis.htm
-
Withdrawal of application
Withdrawal of Demand
Withdrawal of designation
Withdrawal of election
Withdrawal of priority claim
Assignment
PCT Rule 92bis, www.wipo.int/pct/en/texts/rules/r92bis.htm
-
Assignment
Power of attorney
PCT Rule 90, www.wipo.int/pct/en/texts/rules/r90.htm
-
Power of attorney
Request for extension of time limit
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
Request for extension of time limit
Corrected Demand (Form PCT/IPEA/401) – Rules 60.1 a) - f)
www.wipo.int/pct/en/texts/rules/r60.htm#_60_1
-
Corrected demand (Form PCT/IPEA/401)
www.wipo.int/export/sites/www/pct/en/forms/demand/ed_demand.pdf
-
Letter accompanying the replacement sheet(s)
Comments and observations
PCT Rule 66.3, www.wipo.int/pct/en/texts/rules/r66.htm#_66_3
-
Reply to written opinion of the IPEA (Form PCT/IPEA/408)
www.wipo.int/export/sites/www/pct/en/forms/ipea/ipea408.pdf
-
Other comments and observations
Sequence listing free text (Rule 5.2b)
www.wipo.int/pct/en/texts/rules/r5.htm#_5_2_b
-
Amended description with sequence listing free text added
Letter accompanying the replacement sheet(s)
Other document
Communication in cases for which no other form is applicable
- Reply to any other invitation or notification (Form PCT/IPEA/424)
www.wipo.int/export/sites/www/pct/en/forms/ipea/ipea424.pdf
-
[N] Reply to request to indicate the competent IPEA (Form PCT/IPEA/442)
www.wipo.int/export/sites/www/pct/en/forms/ipea/ipea442.pdf
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Documents filed with the Supplementary International Searching Authority
(SISA)
Assignment
PCT Rule 92bis, www.wipo.int/pct/en/texts/rules/r92bis.htm
-
Assignment
Earlier search
PCT Rule 12bis, www.wipo.int/pct/en/texts/rules/r12bis.htm
-
Application for which earlier search was performed
Cited documents in earlier search
Results of earlier search
Translation of application for which earlier search was performed
Translation of result of earlier search
Regarding payment of fees
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
Letter regarding payment of fees
Power of attorney
PCT Rule 90, www.wipo.int/pct/en/texts/rules/r90.htm
-
Power of attorney
Request for extension of time limit
PCT Rule 16bis, www.wipo.int/pct/en/texts/rules/r16bis.htm
-
Request for extension of time limit
Late furnished sequence listing
PCT Rule 13ter.2, www.wipo.int/pct/en/texts/rules/r13ter.htm#_13ter_2__1
 Later filed sequence listings can only be filed with the EPO in computer-readable format. Please select
either ST25 or ASCII Text as the file type when attaching the file to the application.
- Late furnished nucleotide and/or amino acid sequence
Lack of unity of invention (Rule 13)
www.wipo.int/pct/en/texts/rules/r13.htm
-
Reply to invitation to pay additional fees for lack of unity of invention
Request to review the opinion regarding the lack of unity of the invention
Withdrawals (Rule 90bis)
www.wipo.int/pct/en/texts/rules/r90.htm
-
Withdrawal of request for supplementary search
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11 PCT-SFD
Attaching PDF documents
To attach a document, you need to select a category in the first step. After selecting the required file from your
computer, you can select the document type.
!
Note: If you are not sure which the correct category for your document is, please refer to the
relevant section above (RO, ISA, IPEA or SISA).
This example demonstrates how to attach the missing claims for filing with the EPO as receiving Office.
 In the Documents tab of PCT-SFD, click the Add button.
 Select the appropriate category from the list, e.g. Correction of defects (Article 11).
Figure 446: Selecting a document category
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 In the Open window, navigate to the storage location of your file.
 Select the required file and click Open.
Figure 447: Selecting the PDF file to be attached
The file is attached to the application under its original file name.
The explanatory text on the lower right displays information on the PCT regulations relevant for the selected
document category.
 Select the appropriate document from the Document type drop-down list, e.g. Missing claims.
 Note that most document types can only be attached once.
Figure 448: Selecting the document type for the attached PDF file
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The file is renamed to the Online Filing default file name, e.g. MISSCLMS.pdf.
The original file name is also displayed at the top of the screen, along with the number of pages.
 Select the language of the document (mandatory).
You can either type the two-letter language code (EN, DE or FR) into the field to the left or select the
language from the drop-down list to the right.
Figure 449: Selecting the language for the attached document
Document types blocked by the EPO
If you attach a document type which is not accepted by the EPO acting as the selected capacity, a red validation
icon appears in the Documents tab.
 Open the validation messages to see which of the documents should be removed.
Figure 450: A document which is blocked by the EPO has been attached
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!
11 PCT-SFD
Attaching sequence listings
Note: Sequence listings must always be submitted in computer-readable format in accordance
with WIPO Standard ST.25. If you attach a sequence listing in PDF when filing with the EPO as
ISA, IPEA or SISA, a red validation icon is displayed in the Documents tab.
 In the Documents tab of PCT-SFD, click the Add button.
 Select the appropriate category from the list:
- Later filed documents if the EPO is acting as RO
- Later furnished sequence listing (Rule 13ter) if the EPO is acting as ISA, IPEA or SISA
 In the Open window, navigate to the storage location of your file.
 Change the option in the Files of type drop-down list from Portable Document Format (default) to ST25
(for a sequence listing in APP or SEQ format) or ASCII Text (for a sequence listing in TXT format).
Figure 451: Selecting the correct file type when attaching a sequence listing file
 Select the required file and click Open.
Figure 452: Attaching a sequence listing in APP file format
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The file is attached to the application under its original file name.
 Select the appropriate document from the Document Type drop-down list:
- Sequence Listings if the EPO is acting as RO
- Late furnished nucleotide and/or amino acid sequence if the EPO is acting as ISA, IPEA or SISA
Figure 453: Selecting the document type for the attached sequence listing file
The file is renamed to the Online Filing default file name.
 Select Other in Language of the document.
Figure 454: Selecting "Other" as the language for the attached sequence listing file
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Viewing attached documents
You can check your application and the attached documents in the print preview.
 Click the Preview button in the toolbar.
The application (pct-sfd.pdf) is displayed in the PDF Viewer.
Section 3 of the form contains the attached documents with their original file names. The list is grouped by
category.
The left pane in the PDF Viewer lists all the files with their system names.
 Click a file name to the left to display the corresponding document in the PDF Viewer.
Figure 455: Previewing the form in the PDF Viewer
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11 PCT-SFD
PCT-SFD – Fee Payment
In the Fee Payment tab you can select the fees associated with your application and indicate how you wish to
pay them. All fees must be paid in euros.
The fees displayed in the Fee Payment tab reflect the fee schedules located in File Manager > Tools > Fee
Management.
Make use of the Live Update function in Online Filing to ensure that your fee schedule is always up to date. You
will find the most recent fee schedule on the EPO website at Applying for a patent > Online services,
following the link Interactive schedule of fees
(http://www.epoline.org/portal/portal/default/epoline.Scheduleoffees).
The fees payable are determined by the capacity in which the EPO is acting, as selected in the Application tab.
 The option to pay fees for late payment can be found in the Payment details sub-tab (RO or IPEA).
 The option to pay fees for lack of unity of invention can be found in the Fee selection sub-tab (ISA or IPEA).
 If the EPO has been selected as the SISA, no fees are due.
11.4.1
Fee selection
When filing with the EPO, the Fee selection sub-tab will display the relevant fees for the documents that have
been attached.
Fees for subsequently filed documents
Most fees cannot be selected manually and thus the corresponding check boxes are locked. However, the fees
are automatically selected by Online Filing once certain subsequently filed documents are attached, for example:
 If a request for restoration of the right of priority is attached, the Fee for restoration of right of priority
(013EP) is selected (RO).
Figure 456: The EPO is acting as RO and RESTPRIOR is attached: Fee for restoration of right of priority payable
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 If a Reply to invitation to pay additional fees due to lack of unity of invention is attached, the
Protest fee (062EP) is unlocked and can be selected (ISA, IPEA).
 If a Request to review the opinion regarding the lack of unity of the invention is attached, the
Protest fee (062EP) is selected (ISA, IPEA).
 If a late furnished sequence listing is attached, the Late furnishing fee (sequence listing) (066EP) is
selected (RO, ISA or IPEA).
Figure 457: The EPO is acting as ISA and both ISAPLUIR and LFSEQL are attached: protest fee and late furnishing fee for
sequence listing are payable
Fees for lack of unity in invention
If the EPO is acting as ISA or IPEA, you can choose to pay additional fees where the ISA or IPEA has ruled that
the invention lacks unity and has requested fees for separate inventions.
 If applicable, tick the check box to pay fees for lack of unity of invention.
- The Additional search fee (003EP) is automatically selected (ISA).
- The Additional preliminary examination fee (021eEP) is automatically selected (IPEA).
 Enter the number of independent inventions for which fees are being paid.
The amount payable is automatically calculated.
Figure 458: The EPO is acting as IPEA and option to pay fees for lack of unity of invention is ticked: additional preliminary
examination fee is payable
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Manual selection of other fees to be paid
 Tick the check box for the fee to be paid.
The amount payable is automatically calculated and fee total is updated.
Figure 459: The EPO is acting as IPEA: handling fee manually selected
11.4.2
Payment details
In the Payment details sub-tab you can specify the mode of payment and provide further details required by
the EPO.
Mode of payment
 Select the appropriate option from the Mode of payment list.
 Bank transfer
The EPO accepts EUR payments to its account with the Commerzbank AG in Munich, Germany. The IBAN
and BIC codes of the EPO's bank account are supplied automatically when you select DE, Commerzbank
AG, München from the drop-down list.
 Debit from deposit account
If you choose this mode of payment, the relevant fees will be debited directly from your EPO deposit account.
If you issue a debit order during normal working hours (08.00-18.00 hrs.), you can usually view it under
Pending orders within about 30 minutes. The actual deduction from your account will appear 5 to 6 days
later.
 Not specified
If you are not sure how you will be paying your fees, you can indicate Not specified.
Debit from deposit account
An EPO deposit account is required to use the option Debit from deposit account.
 Enter the number of your deposit account and the name of the account holder.
 EPO deposit account numbers are made up of eight digits, starting with 28.
 If applicable, tick the check box Authorisation to charge any deficiency or credit any overpayment
in the total fees.
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Figure 460: Deposit account data entered
Fees for late payment
If you are filing with the EPO acting as RO or IPEA, you can select fees for late payment. These are not
automatically supplied by the software, so you are required to calculate and enter the appropriate amount
manually.
 Select the option Tick here if you want to pay late payment fees.
 Enter the amount in EUR.
The amount in the Previous total field is automatically taken from the Fee selection sub-tab and added up
to give the Grand total.
Figure 461: Entering the late payment fee
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11 PCT-SFD
PCT-SFD – Annotations
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Note field.
Figure 462: Adding a new note for the EPO
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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Signing an application with Form PCT-SFD
Once you have entered all the mandatory information, you can prepare your applications for signature and
proceed to sign it and send it to the EPO. For more information, see sections Signing applications (p. 93) and
Sending applications (p. 107).
Entering signatories
When signing a PCT-SFD application, you are required to provide the names of the signatories manually. Unlike
in other EP forms, this information is not automatically copied from the Names tab because no data is entered in
the PCT-SFD form when filing with the EPO.
The Sign Application window allows you to add all the required signatories.
 To sign as or for the applicant, click <other> under the heading Sender to the left.
- Enter the applicant name.
- If you are signing as an employee, also enter your name into the Employee name field.
 To sign as or for the representative, click <other> under the heading Representatives to the left.
- If applicable, enter the Association.
- Enter the representative's name.
 Select the type of signature.
 Complete the data as required.
 To apply the signature, click Sign.
 Add more signatories if necessary and finalise the signing process by applying an enhanced electronic
signature with a smart card and PIN.
Figure 463: Adding signatories and signing the form
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12 PCT-DEMAND (PCT/IPEA/401)
Form PCT/IPEA/401 is used for filing demands for international preliminary examination according to Chapter II
of the Patent Cooperation Treaty (PCT). For more information, see the WIPO website at IP Services > PCT
System > Legal Texts > Treaty > Article 31 (http://www.wipo.int/pct/en/texts/articles/a31.htm).
!
Note: This document focuses on the EPO acting as the International Preliminary Examining
Authority (IPEA).
Data input in Form PCT-DEMAND
Form PCT-DEMAND is organised into six tabs. It is recommended that you enter the data in the tab sequence
given, i.e. you should start with the Demand tab. Certain options and conditions in the Documents tab, for
instance, are determined by the selections you make in the Examination Basis tab.
Tab
What you can do
Demand
Select the IPEA, enter details of the PCT application to which this demand for
international preliminary examination belongs.
Names
Enter details on applicant(s), enter details on agent(s) or supply an address for
correspondence.
Examination Basis
Specify the basis for the international preliminary examination and select the language
for the purposes of the examination.
Documents
Attach examination documents or other documents.
Fee Payment
Review fees and enter the mode of payment.
Annotations
Supply additional information for the EPO.
Mandatory fields
A red triangle in the upper right-hand corner of a field indicates mandatory information. You must either manually
fill out this field or select one of the options provided. If mandatory fields are not completed, the corresponding
tab will show a red validation icon. Consult the validation messages for more information.
Figure 464: "Filing Office/IPEA" is a mandatory field in the "Demand" tab and is marked with a red triangle
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Elements in Form PCT-DEMAND
Figure 465: Form PCT-DEMAND – Overview
Form element
Comments
Menu Bar
Provides all options to edit, save, import and export applications, set the
display and change the status, as well as other tools.
Toolbar
Provides shortcuts to the most frequently used tasks and tools.
Location Indicator Bar
Shows the selected procedure, the current status and the user reference for
an application.
Navigation Bar
Displays tabs corresponding to the sections of the form. These tabs can
contain sub-tabs, which are a sub-division of the main tab sections within the
form.
Details Area
Displays data entry fields appropriate to the selected tab.
Status Bar
Displays information about the current activity. Shows the total number of
validation messages for the open application.
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12 PCT-DEMAND (PCT/IPEA/401)
PCT-DEMAND – Demand
The Demand tab is where you select the filing office and enter basic information about the international
application for which international preliminary examination is requested.
 Select the EPO as the IPEA, either by entering the two-letter code EP into the first field or by selecting
European Patent Office from the drop-down list.
This information is mandatory.
 Enter the international application number of the PCT application.
This information is mandatory.
 Enter the international filing date of the PCT application.
 Clicking on the calendar icon on the right of the date boxes will open a calendar from which you can select
the date.
This information is mandatory.
 If the year of filing is different from the year in the PCT application number, a yellow validation icon is
displayed. You can file your application to the EPO nevertheless, but please ensure that the data you enter is
correct.
 If a priority has been claimed for the PCT application, enter the earliest priority date (optional).
 Enter the title of the invention exactly as specified in the PCT application (usually in block capitals).
This information is mandatory.
Once you have entered all the mandatory information, the red validation symbol will disappear from the Demand
tab in the navigation bar. However, a yellow validation icon is displayed if you do not supply the (earliest) priority
date.
Figure 466: Entering details on the PCT application for which international preliminary examination is requested
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PCT-DEMAND – Names
The Names tab is where you enter details of the applicant(s), an agent (representative) or an address for
correspondence. Details of at least one applicant are required.
Adding names
 In the Names tab, click the Add button.
 Select a role from the list.
Figure 467: Options for adding names in Form PCT-DEMAND
 Enter the appropriate information or copy a name from the Address Book.
Removing names from the form
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
12.2.1
Applicant
At least one applicant is required for filing. If you add two or more applicants, you can appoint one of them to act
as the common representative. Any correspondence intended for the applicants will then be sent to the address
of that applicant.
 In the Names tab, click the Add button.
 Select either Applicant, Natural or Applicant, Legal from the drop-down list.
 Enter the name and address information for the applicant or copy the data from the Address Book.
 If you provide an email address, select the appropriate check box to authorise the IPEA to use that email
address.
The two options are mutually exclusive.
 At present, however, the EPO does not send any official communications by e-mail.
 If required, add more applicants by the repeating the above procedure.
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 It is recommended that you name either a representative (agent) or a common representative. The yellow
validation icon in the Names tab informs you about the corresponding validation message.
Figure 468: Details of legal applicant
Appointing a common representative
Once you have added two or more applicants, the option to select a common representative is enabled.
 Select the applicant to be appointed as the common representative.
 Tick the check box This applicant is also common representative (applicant, legal) or This person is
also common representative (applicant, natural).
Figure 469: Selecting one of the applicants as the common representative
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Once you tick the check box for the selected applicant, it is disabled for the other applicants.
 Note that the Representative and Correspondence address options have disappeared from the list. This
means that you cannot add an agent or an address for correspondence if you have already appointed a common
representative.
Figure 470: The common representative option is disabled for the second applicant
12.2.2
Agent
You can add only one agent. Where an agent is appointed, any correspondence intended for the applicant will be
sent to the address indicated for that agent.
 In the Names tab, click the Add button.
 Select either Representative, Natural Person or Representative, Legal Entity from the drop-down list.
 Enter the name and address information for the representative or copy the data from the Address Book.
 Note that the Representative and Correspondence address options are not available in the list once
you have added the first representative (agent).
Figure 471: Details of representative (agent)
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Details relating to the agent's authorisation
The lower part of the screen allows you to specify the relationship between applicant and agent (representative)
for the purpose of this application. The option The agent above ... has been appointed earlier ... is selected
by default.
 To specify a new appointment, select the appropriate option.
 Related documents, e.g. a separate power of attorney, can be attached from the Documents tab.
Figure 472: Details relating to the authorisation of the agent
12.2.3
Address for correspondence
Where no agent or common representative is appointed, any correspondence will be sent to the address of the
applicant (if only one person is named as applicant) or of the applicant who is considered to be common
representative (if there are two or more persons named as applicants).
If the applicant wishes correspondence to be sent to a different address in such a case, that correspondence
address may be indicated in the form.
 In the Names tab, click the Add button.
 Select either Correspondence address (natural person) or Correspondence address (legal entity)
from the drop-down list.
 Enter the details for that address or copy the data from the Address Book.
 Once you indicate an address for correspondence, you cannot appoint one of the applicants as the
common representative. However, if you add a representative (agent) after indicating an address for
correspondence, the address for correspondence is removed from the form.
Figure 473: Address for correspondence specified for a legal entity
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12 PCT-DEMAND (PCT/IPEA/401)
PCT-DEMAND – Examination Basis
The Examination Basis tab is where you enter details about the basis for the requested examination.
Basis for the international preliminary examination
The examination can be carried out on the basis of the application as originally filed, or as amended under Article
19 and/or Article 34 PCT.
 If you wish the examination to be based on the application as originally filed, select the option International
application, as originally filed (default).
Figure 474: The international preliminary examination will be based on the international application as originally filed
 If you wish the examination to be based on the application as amended, select Other, as specified below.
 Specify the basis for the description by selecting the appropriate option from the drop-down list:
- as originally filed
- as amended under Article 34.
 Specify the basis for the claims by selecting the appropriate option from the drop-down list:
- as originally filed)
- as amended under Article 19
- as amended under Article 34.
 Specify the basis for the drawings, if required:
- as originally filed
- as amended under Article 34
- not applicable (set by default as drawings are not mandatory).
 If you want any amendments to the claims made under Article 19 to be reversed, tick Any amendment to
the claims under Article 19 should be considered as reversed.
This check box is disabled if you selected the as amended under Article 19 option for the claims.
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 Select when to start the examination:
- Ordinary start (default)
- Postpone the start, Rule 69.1(b), 69.1(d)
- Start earlier, before time limit under Rule 54bis1(a)
Figure 475: The examination will be based on the international application as amended and amendments to the claims under
Article 19 should be reversed
Language for the purposes of the examination
 Select the language (mandatory).
 You can either type the two-letter language code (EN, DE or FR) into the field to the left or select the
language from the drop-down list to the right.
 Select the appropriate option for which is the language...
-
in which the international application was filed (default)
of a translation furnished for the purposes of the international search
of publication of the international application
of the translation (to be) furnished for the purposes of the examination.
Figure 476: Selecting the language and indicating where this language is used
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12 PCT-DEMAND (PCT/IPEA/401)
PCT-DEMAND – Documents
The Documents tab of Form PCT-DEMAND is where you attach documents to be used by the IPEA in the
international preliminary examination. Attaching the relevant documents becomes mandatory if you specify
amended parts of the application in the Examination Basis tab.
To attach a document, you first need to select the suitable document category. The following document
categories are available:
 Examination documents (p. 394), e.g. amendments
 Accompanying items (p. 396) in PDF format, e.g. power of attorney document
 A sequence listing (see "Attaching sequence listings" p. 398) is also attached under the
Accompanying items category.
 Pre-conversion archive (p. 400), i.e. a ZIP file containing the original documents which are not converted
into PDF
12.4.1
Examination documents
The examination documents category offers the following document types:
 Translation of international application
 Amendments under Article 34
 Copy or translation of amended claims under Article 19
 Copy or translation of statement under Article 19
 Letter
 Other document
 To attach a document, click the Add button in the Documents tab.
 Select Examination documents from the list.
Figure 477: Adding examination documents
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 In the Open window, navigate to the storage location of your file.
 Select the required file and click Open.
Figure 478: Selecting the file to be attached
The file is attached to the application under its original file name.
 Select the appropriate document type, e.g. Amendments under Article 34.
Figure 479: Selecting the document type for the attached file
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The file is renamed to the Online Filing default file name, e.g. AMDA34-1.pdf.
The original file name is also displayed at the top of the screen, along with the number of pages.
Figure 480: Amendments under Article 34 attached
Attaching other documents
You can specify your own document type if there is no suitable attachment option.
 Click the Add button and then select Examination documents from the list.
 Navigate to the PDF file and attach it.
 Select Other document from the Document Type list.
The file is renamed OTHERDOC-1.pdf.
 To describe this document enter your text in the Details field, e.g. Explanatory Note.
Figure 481: Other examination document attached
12.4.2
Accompanying items
The accompanying items category offers the following document types:
 General power of attorney
 Copy of general power of attorney
 Separate power of attorney
 Sequence listing (PDF) (see "Attaching sequence listings" p. 398)
 Fee payment receipt (OEPM only)
 Other document




To attach a document, click the Add button in the Documents tab.
Select Accompanying items from the list.
In the Open window, navigate to the storage location of your file.
Select the required file and click Open.
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The file is attached to the application under its original file name.
 Select the appropriate document type, e.g. Separate power of attorney.
Figure 482: Selecting the document type for the accompanying item
The file is renamed to the Online Filing default file name, e.g. SPOAT.pdf.
The original file name is also displayed at the top of the screen, along with the number of pages.
Figure 483: Separate power of attorney document attached under accompanying items
Attaching other documents
You can specify your own document type if there is no suitable attachment option.
 Click the Add button and then select Accompanying items from the list.
 Navigate to the PDF file and attach it.
 Select Other document from the Document Type list.
The file is renamed OTHE-1.pdf.
 To describe this document enter your text in the Details field, e.g. Assignment document.
Figure 484: Other accompanying item attached and specified
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12.4.3
!




12 PCT-DEMAND (PCT/IPEA/401)
Attaching sequence listings
Note: Sequence listings must always be submitted in a computer-readable format in accordance
with WIPO Standard ST.25. If you attach a sequence listing in PDF format when filing with the
EPO acting as the IPEA, a red validation icon is displayed in the Documents tab.
To attach a sequence listing in WIPO ST25 text format, click the Add button.
Select Accompanying items.
In the Open window, navigate to the storage location of your file.
Change the option in the files of type drop-down list from Portable Document Format (default) to
Nucleotide and Amino Acid Sequence Listing (for a sequence listing in APP, SEQ or TXT format).
Figure 485: Selecting the file type for attaching a sequence listing file
 Select the required file and click Open.
Figure 486: Attaching sequence listing in WIPO ST25 format
The file is attached to the application under its original file name.
 From the Document Type list select Sequence listing (text format to WIPO Standard 25).
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Depending on the original file format, the file will be renamed SEQLTXT.app, SEQLTXT.seq or
SEQLTXT.txt.
Figure 487: Sequence listing in SEQ format attached
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12.4.4
12 PCT-DEMAND (PCT/IPEA/401)
Pre-conversion archive
The pre-conversion archive option allows you to add your original documents, before PDF conversion, in a
compressed ZIP format. This may be helpful if you wish to provide the EPO with your original documents in
colour. The documents contained in the ZIP file will not be publicly available nor will they be an integral part of
the visible internal procedural file, but they can be accessed for reference, e.g. in the event of quality issues.
 To attach the ZIP archive, click the Add button.
 Select Preconversion archive.
 Navigate to your ZIP file and select it.
 Click Open to attach the file.
The file is renamed OLF-ARCHIVE.zip.
The names of the original files from the attached pre-conversion archive are listed on the right.
Figure 488: ZIP archive containing the unconverted documents is attached
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12 PCT-DEMAND (PCT/IPEA/401)
Viewing attached documents
You can check your application and the attached documents in the print preview.
 Click the Preview button in the toolbar.
The application (pct-demand.pdf) is displayed in the PDF Viewer.
Section VI of the form contains the attached documents with their original file names.
The left pane in the PDF Viewer lists all the files with their system names.
 Click a file name to the left to display the corresponding document in the PDF Viewer.
Figure 489: Previewing the PCT-DEMAND form in the PDF Viewer
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12 PCT-DEMAND (PCT/IPEA/401)
PCT-DEMAND – Fee Payment
In the Fee Payment tab you can review the fees associated with your demand and indicate how you wish to pay
them. All fees must be paid in euros.
The fees displayed in the Fee Payment tab reflect the fee schedules located in File Manager > Tools > Fee
Management.
Make use of the Live Update function in Online Filing to ensure that your fee schedule is always up to date. You
will find the most recent fee schedule on the EPO website at Applying for a patent > Online services,
following the link Interactive schedule of fees
(http://www.epoline.org/portal/portal/default/epoline.Scheduleoffees).
12.5.1
Fee selection
The Fee selection sub-tab displays the fees payable to the EPO for the preliminary examination of the
international application.
The fees payable for filing a PCT-DEMAND form are the examination fee and the handling fee.
 These fees are automatically selected and cannot be de-selected. No further action is necessary.
Figure 490: Fees payable for PCT-DEMAND are automatically selected
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12.5.2
12 PCT-DEMAND (PCT/IPEA/401)
Payment details
In the Payment details sub-tab you can specify the mode of payment and provide any details required by the
EPO acting as the IPEA.
Mode of payment
 Select the appropriate option from the Mode of Payment list.
 Bank transfer
The EPO accepts EUR payments to its account with the Commerzbank AG in Munich, Germany. The IBAN
and BIC codes of the EPO's bank account are supplied automatically when you select DE, Commerzbank
AG, München from the drop-down list.
 Debit from deposit account
If you choose this mode of payment, the relevant fees will be debited directly from your EPO deposit account.
If you issue a debit order during normal working hours (08.00-18.00 hrs.), you can usually view it under
Pending orders within about 30 minutes. The actual deduction from your account will appear 5 to 6 days
later.
 Not specified
If you are not sure how you will be paying your fees, you can indicate Not specified.
Debit from deposit account
An EPO deposit account is required to use the option Debit from deposit account. Debit orders must be
signed by an authorised person.
 Enter the number of your deposit account.
 EPO deposit account numbers are made up of eight digits, starting with 28.
 Enter the name of the deposit account holder.
 If applicable, tick the check box Authorisation to charge any deficiency or credit any overpayment
in the total fees.
 Enter the name of the person authorised for signature.
 Enter the alphabetical signature of that person by writing the name between two slashes, e.g. /Laura
Huffington/.
Figure 491: Entering payment data for debit from deposit account
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12 PCT-DEMAND (PCT/IPEA/401)
Viewing the fee sheet
The data relevant for fee payment and the fee amounts to be paid are summarised in a separate fee sheet. You
can preview this document in the PDF Viewer.
 Click the Preview button in the toolbar.
The application (pct-demand.pdf) is displayed in the PDF Viewer.
 To display the fee sheet, click fees.pdf in the list to the left.
Figure 492: Checking the fee sheet in the PDF Viewer
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12 PCT-DEMAND (PCT/IPEA/401)
PCT-DEMAND – Annotations
In the Annotations tab you can enter notes to be transmitted to the EPO.
Creating notes for the EPO
 Click the Add button and select New Note.
 Enter the relevant information in the Note field.
Figure 493: Writing a note to the EPO acting as IPEA
 To add notes that are not intended for the EPO, please use the Internal notes (p. 42) function on the form's
toolbar.
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13 Server Manager
13 Server Manager
The Server Manager allows Online Filing users to administer and manage the Online Filing server and databases
in their office environment.
Server Manager is automatically installed together with the Online Filing software Version 5.08 when Server
installation or Stand alone installation is selected during setup. Server Manager cannot be run on a
machine with the thin client only.
Login to Server Manager
Server Manager can only be started in production mode. However, most of the functions are available for both
the production database and the demo database.
Users who are members of the Administrators group can log on to Server Manager with their user name and
password. A user with Administrator ID is entitled to add users to the Administrators group in Online Filing's
User Administration (p. 70) window.
Figure 494: Login to Server Manager
Starting Server Manager in Windows 7/8 and Windows Vista
You need to be granted Windows Administrator privileges to start the Server Manager under Windows 7/8 or
Windows Vista.
 Right-click the Online Filing 5.0 Server Manager shortcut in the EPO Online Filing program group.
 Select Run as administrator in the shortcut menu.
Figure 495: Starting the Server Manager via the Windows 7 Start menu
If you are not the Windows Administrator, you must enter his or her Windows account name and password in the
next step.
 Click Yes (Windows 7/8) and Allow (Windows Vista) respectively in the User Account Control window.
The Server Manager login window then appears.
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13 Server Manager
Server Manager overview
By default, the Server Manager starts with the Services tab opened.
Server Manager's major features can be accessed via ten tabs. Every tab features a toolbar with buttons to
activate the features currently available. You can also activate these features via the Action menu.
Tab
What you can do
Services
Control services: monitor, stop, start, activate and deactivate the Online Filing
services.
Backup
Backup, restore and clear the complete database. Configure automatic backup.
Export
Export items from the database, e.g. applications or templates, and store them as ZIP
files. Deleting items after export is optional.
Import
Import items into the database that have been previously exported, e.g. applications or
templates, to use them in File Manager.
Users
Monitor and manage users logged in to Online Filing.
Unlock
Disconnect users from items in the database, so that the respective record
(application) in the database becomes unlocked and, hence, editable for other users.
History
List of user activities in File Manager and the other services, with IP addresses,
Windows account names and OLF user names. Export server log file.
Live Update
Countries
Select the countries for which Live Update should search for new or updated national
plug-ins.
Settings
Define default file locations for backup, import and export.
Define settings for Live Update and perform a live update.
Data Migration
Transfer user administration settings from one server to another.
Move the Online Filing database to another hard disk.
Figure 496: Server-Manager - Overview
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13 Server Manager
Services management
The Services tab allows for monitoring and managing the Online Filing services.
The list displays all installed services by Plugin name, Exe file name (path to the program file), Service
name, Status, Corba port, SOAP port and Connections (number of active user sessions).
In a typical installation of the EPO OLF Server the following services are installed and activated:
 EPO OLF File Manager
 EPO OLF EP1038 - Form EP(1038E)
 EPO OLF EP122K - Form Euro-PCT(1200E2K)
 EPO OLF EP2000 - Form EP(1001E2K)
 EPO OLF EPOPPO - Form EP(OPPO)
 EPO OLF PCT - Form PCT/RO/101
!
Note: When setting up Online Filing you can select which national plug-ins should be activated. All
plug-ins available for Online Filing are installed as a matter of course, but only the ones you select
are activated as a service and started. Check the Online Filing installation guide for more details.
The Services tab indicates the status of the various services in the following manner:
 Services that are activated are indicated in black.
 Services that are not activated are indicated in grey.
 Services that are running are indicated by a small green triangle.
 Services that are not running (including deactivated services) are indicated by a small square.
In the example below, the standard EPO OLF plug-ins and the EPO OLF File Manager are all running (black font
with triangle), with the exception of the EPO OLF EP1038 service which has been stopped (black font with
square). The services for the national plug-ins are not active.
Figure 497: Services running and stopped
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Button
13 Server Manager
Command
Comments
Start as a service
Start an online service that has been stopped.
Stop
Stop an online service that is running.
Refresh
Retrieve current status of online services from servers.
Activate service
Activate service for a national plug-in
(available for non-active services)
Deactivate service
Deactivate service for a national plug-in
(available for stopped services, apart from EPO OLF standard services)
Running a service
 Select the service you wish to start - the current status is Stopped.
 Click the Start as a service button.
 The service will be started and made available to users.
Stopping a service
 Select the service you wish to stop - the currents status is Running.
 Click the Stop button.
 The service will be stopped. Active users will be disconnected.
 Stopping/starting the File Manager service (EPO OLF File Manager) will stop/start all other OLF services at
the same time.
Activating a service
 Select the service for the national plug-in you want to activate - the current status is deactivated (grey font)
and Stopped.
 Click the Activate Service button.
Figure 498: Activate service
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13 Server Manager
The selected service is activated but not automatically started.
 Click the Start as service button.
Figure 499: Service was activated and can be started
 A national plug-in activated in this way is not available in Online Filing's File Manager until all users have shut
down and restarted this tool.
Deactivating a service
!
Attention: If a service is deactivated, the applications created with this national procedure are no
longer available in File Manager. However, the data is not removed from the database. The
applications reappear as soon as the service is reactivated.
To deactivate a service that is running you must first stop it.
 Select the service you want to deactivate - its current status is Running.
 Click the Stop button.
The service is stopped and the Deactivate Service button reappears.
 Click the Deactivate Service button.
Figure 500: Deactivating a service that was stopped
 You cannot deactivate EPO OLF standard services, that is, EPO OLF File Manager, the four EPO OLF
plug-ins and the EPO PCT plug-in.
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13.3
13 Server Manager
Database management (Backup)
The Server Manager's Backup functionalities allow you to back up, restore and clear the complete Online Filing
database.
The Backup tab displays a list of all existing backup files stored in your default Backup directory. The file
location can be specified in Settings. The type of database, file name and file date are indicated in the backup
list.
Button
Function
Comments
Backup
Back up the complete Online Filing database to a compressed
archive file.
Restore
Restore the database from a selected backup file.
Delete file
Delete a backup file.
Empty database
Empty the Online Filing database. Specific data from the production
database can be copied to the new database.
Refresh
Display current list of all backup files from the default backup
directory.
Figure 501: List of database backups in the backup directory
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Backing up database
Use backup regularly to save all users' data in a physical location different from the hard drive used by the
server. Backup is available for both demo and production mode.
 Applications that have been moved to the Trash folder in File Manager will not be included in the database
backup. They are therefore not available for restore at a later date.
 Click the Backup button to start the backup process.
 In the Backup logging window, select the database you want to back up: Production or Demo.
 Click Start.
Figure 502: Selecting database for backup
The database will be backed up and stored in the default backup directory. The Backup complete prompt will
inform you when the process is finished.
The backup file list is automatically refreshed.
Figure 503: Backup complete, new file added to list
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Deleting backup files
 Select the backup file(s) in the list that you want to delete.
- To select multiple files, select the first backup file you want to delete with a click and all other individual
files with CTRL+click.
-OR- Select the first file and then press SHIFT+click on the last one to select all of them.
 Click the Delete button.
Figure 504: Deleting multiple backup files
You will be prompted for confirmation if you select multiple files to be deleted.
Figure 505: The Server Manager prompts for confirmation to delete multiple backup files
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Enabling automatic backup procedure
You can enable the automatic backup procedure for the production database in an Online Filing server
installation. Automatic backup runs database backups at regular intervals without user interaction.
 Tick the check box Enable automatic backup procedure.
Figure 506: Default settings for automatic backup
 Enter the number of days between the backups, e.g. 1 for daily backup or 7 for weekly backup.
 Keep in mind that daily backups require considerable amounts of free disk space and that you should
therefore delete old backup files regularly. It is recommended to set the backup directory path to a physical
hard drive with adequate storage capacity; see Settings for file locations (p. 424).
 Enter the time of day.
 If the OLF server is down at this time, the automatic backup will start at a later time once the server is
running.
 Enter the Starting date.
Figure 507: Settings for the automatic backup procedure
The backup settings will take effect after restarting the File Manager service. Once you click away from the
Backup tab or you close the Server Manager, the following message is displayed as a reminder.
Figure 508: Reminder to restart the File Manager service, thereby activating the automatic backup
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!
13 Server Manager
Restoring database
Warning: Restore overwrites the whole database and restores it to the state it was in when the
backup file was generated. You will lose all applications created since the backup.
 Click the backup file in the list from which you want to restore your database.
 Any backup of the production database can only be restored to the production database, and any backup
of the demo database can only be restored to the demo database. There is only one option available at a
time, that is to say it is not possible to restore a backup file of the production database to the demo database
or vice versa.
 Click the Restore button.
If users are connected to the system, you will be prompted to disconnect them first.
Figure 509: Warning message if there are active user connections
 In the Restore logging prompt, click Start.
Figure 510: Restore logging prompt
The next window prompts you to confirm that the data in the database will be overwritten.
 Click Yes.
Figure 511: Warning before restore will overwrite data in the database
The database will be restored.
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13 Server Manager
Creating a new empty database
Proceed as follows before you select Empty:
 Use Backup to create a complete copy of your database for backup.
 Terminate any active user sessions in the Users tab (see "User sessions" p. 420).
Emptying the database will create a new database and will delete all applications from the existing database. You
can opt to transfer data like users, groups, profiles, mappings, templates and the Address Book as well
as all applications that are not in Status Sent to the new database.
 Click the Empty button to start.
 Select which database is to be emptied.
 Extended options are available for the production database only.
Figure 512: Empty database - selection of data to be transferred
 Click OK to continue.
 Click Yes in the Question prompt to confirm that you are sure you want to empty the selected database.
The new database is created. If applicable, the data previously selected is transferred from the old database
to the new one.
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13 Server Manager
Exporting items
The Export tab shows all the items stored in the Online Filing database. All existing applications and templates,
including the corresponding number of validation messages and attachments, are listed to the right.
 The export functions in Server Manager apply to the production database only.
Button
Function
Comments
Export
Export selected items to the default export location. Applications will be saved
as ZIP files containing XML and PDF documents.
Refresh
Update current status of applications.
Figure 513: All applications in the Export tab
Filtering by date
You can restrict the applications to be displayed by enabling the filter by last saved date.
 Tick the Enable Filter check box.
This enables the Start Date and End Date fields. The default settings are the day before the current date in
the End Date field and the day four weeks before the End Date in the Start Date field.
 Modify the Start Date and End Date as required.
 Click Apply Filter.
Figure 514: Enabling filter by start date and end date
 To disable the filter, de-select the Enable Filter check box.
 The filter will also be removed automatically when you close Server Manager.
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Exporting selected items
Each application will be stored as a separate ZIP file in the default Export directory specified in Settings.
 Narrow down the list of displayed items by selecting a workflow folder from the list on the left and/or enabling
a filter by date.
 Click the check box next to an item to select it for export.
 Tick other check boxes to select more than one item.
-ORClick the
icon in the list header to select all items. Click the icon again to de-select all items.
 Click the Export button to start exporting files.
Figure 515: Selecting applications from the draft folder after a filter has been applied
!
Note: Each time you export an application, the Export function creates a new ZIP file and names it
according to the application's user reference. If a ZIP file of the same name already exists in the
export folder, e.g. sample_oppo.zip, the following ZIP files will be named
sample_oppo_001.zip, sample_oppo_002.zip and so on. The same applies if two or more
applications have the same user reference.
Deleting items from database
You can opt to delete exported items from the database.
 Select the option Delete items from database after archiving.
 Click the Export button.
!
Warning: Do not click Cancel while the Export progress window is still visible. Doing this will
delete the selected applications processed up to this point but will not export them.
The applications will be exported and permanently deleted from the database. If you need to retrieve them, use
the Import functions in File Manager or Server Manager.
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13 Server Manager
Importing items
The Import tab shows all the applications available in the default import folder; see Settings for file locations
(p. 424). Server Manager reads the ZIP files that have been created during export by File Manager or Server
Manager.
 Like Export, Import works for the production database only.
Button
Function
Comments
Import
Import selected items from the default import location. ZIP files will be
converted into database records including the original attachments.
Refresh
Update current status of applications.
Selecting items for import
All items are selected by default.
 Click one of the folders to the left to display applications grouped by workflow status or to select templates
only.
 Clear the check boxes for the items that should not be imported.
-ORReset the selection of all objects by clicking the
 Click the Import button to start importing items.
icon in the list header and selecting individual items.
Figure 516: Import selected items
Applications imported into the database always have Draft status, irrespective of their pre-export status. Only
sent applications are imported in Sent status.
In File Manager, you will find all imported applications in the default import folder that you specified under
Settings for Server Manager. You can edit these applications once again in File Manager and move them to the
required status.
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User sessions
The Users tab displays all users currently connected to the Online Filing server.
 In a stand-alone installation of Online Filing with a single user, the Users tab is empty.
Individual users can open multiple connections to the server: starting File Manager, opening applications and
templates. All Online Filing plug-ins, e.g. EPO OLF EP122K, run as individual services to which users can
connect when working in the specific Online Filing procedure.
Each individual connection is listed by Plugin name (service) and User ID. User info shows the path to the
service's configuration file, the user's IP address, domain name and login name within the computer network as
well as the internal Online Filing user name.
Button
Function
Comments
Get user log
Display log information for selected user session in the right-hand
pane.
Get full user log
Display more detailed log information.
Terminate user
Disconnect user from server.
Refresh
Update current user session list.
 Click the Get user log or the Get full user log button to see the log for the OLF service connected to the
currently selected user session ID.
Figure 517: Users logged in to Online Filing services
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Terminating user sessions
 Select the user session to be disconnected in the left-hand pane.
 Click the Terminate user button.
Figure 518: Terminate user
The connection will be terminated. In File Manager or in the form, the user will receive the following message:
Figure 519: User info - connection to server lost
13.7
Unlocking forms
The Unlock tab displays a list of all database records locked by users.
 In a stand-alone installation of Online Filing with a single user, the Users tab is empty.
If a user logged on to File Manager and opened an application or template for processing, the corresponding
record is locked in the database. If other users now try to open this specific application, they receive a message
that this record is locked and a read-only copy of the application is opened.
Figure 520: Warning about a locked application/document
In the Unlock tab, you can unlock locked records to enable other users to continue working on the relevant
application.
 The Unlock function is not applicable for the PCT forms and works only for the production database.
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The Plugin name (service for the selected plug-in), Session ID (internal user number), Table (table in the
database) and Record (internal number of the record) are listed for each record. The User info column shows
the IP address of the computer and the domain name of the network where the user logged on, the user's
Windows logon name as well as his or her user name in Online Filing.
Button
Function
Comments
Unlock
Unlock record and disconnect user from service.
Refresh
Update current locked record list.
Figure 521: List of records currently locked
Unlocking a record
 Select the record to be unlocked.
 Click the Unlock button.
Server Manager terminates the active user session when unlocking a record.
 Click Yes to confirm.
Figure 522: Unlocking a record also terminates the user session
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History
The History tab provides a chronological list of login and logout actions by all users as well as the status of
Online Filing services. A separate log is available for every service. Older entries are automatically hidden.
This enables the administrator to check user activities, find errors and, if necessary, prevent unauthorised
operations.
 Click the Refresh button to retrieve the most recent status.
 Click a service (Plugin name) to display the associated history on the right.
Figure 523: Log of user activities in the History tab
Exporting server log files
You can export the logs for every individual OLF service for later evaluation, if required.
 Select the Plugin name.
 Click the Export button.
Server Manager creates a CSV file, which is named according to the selected service and stores it in the default
export folder.
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13 Server Manager
Settings
The Settings tab comprises various options for configuring the Server Manager.
 Setting the target directories for backup and restore, for export and import in the file system of your computer
or network.
 Selecting the destination folder in File Manager for importing applications.
 Entering data for internet access via a proxy server, if applicable.
 Entering access data for the internet connection used by Live Update, if applicable.
 Configuring the e-mail service for distributing Live Update information.
 Configuring Live Update and checking for updates manually.
13.9.1
Settings for file locations
During the installation of Online Filing, the default setting for all directories is defined by the program path to
Server Manager, i.e. C:\Program Files\EPO_OLF5\tools\smanager\data.
You can designate your own specific directories for the Server Manager's data exchange functions, for example
on a different hard disk partition or a mapped network drive.
In the Backup, Export and Import tab, Server Manager only lists the files located in these designated
directories; files stored in sub-directories are ignored.
Setting
Comments
Backup and restore directory
Location for storing database backup files.
Export directory
Location for exporting applications as ZIP files.
Import directory - source
Default location from which ZIP files are imported to new
applications.
Import directory - destination
Default folder in File Manager where imported applications are
created.
Figure 524: Default settings for file locations
Changing directory settings
 Click the folder button to the right of the directory path you wish to modify.
 Navigate to the new folder in your computer/network drives.
 Click OK.
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The new path will be displayed in the Settings tab.
Figure 525: Example of individual settings for file locations
13.9.2
Default Network Settings
The administrator defines the default network settings in Online Filing for all users in the corporate network. PC
workstations in larger companies usually do not connect directly to the Internet but rather are routed over a proxy
server. This proxy examines all incoming and outgoing connections and rejects unauthorised connection
attempts.
 Enter the IP address of the proxy server in the Proxy server field.
 In the field to the right of it, enter the number of the proxy server port that Online Filing should use to establish
an Internet connection. You can configure the proxy server in such a way, for instance, that this port is only
used by Online Filing.
 Enter appropriate access data in the fields Username and Password if the proxy server requires
authentication every time a connection is established.
!
Warning: The username and password for the proxy user are saved in unencrypted form in the file
OLFfm.conf. For security reasons, these credentials should never be identical to your Windows
authentication.
The SSL Version is set to TLSv1 by default and cannot be changed. To provide for enhanced security in terms
of data encryption, Online Filing does not use previous SSL versions anymore.
 Please contact your system administrator if you are unsure about the information you need to enter in your
situation.
Figure 526: Network settings
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13.10 Live Update
The Live Update service is used to update the Online Filing software. Live Update establishes a connection
between the Online Filing client and the EPO's update server and checks for updates for the installed version of
the software.
Live Update is configured and can be activated manually in Server Manager. This means that only users in the
Administrators group are allowed to perform a live update in Online Filing.
How to update Online Filing
Log on to Server Manager with your user name.
Use Backup to create a copy of your database.
Check if there are any updates available in the Settings tab.
Download the update.
Install the update in a test environment to ensure that it does not cause any problems on your productive
system.
 Shut down all Online Filing services.
 Install the update in the server installation. If the update also includes amendments to Online Filing's thin
client, a new installation file is generated for the thin client when updating the server and stored in the
program folder EPO_OLF5/ThinClient_v500.





 Restart the services.
 Distribute the thin client update to the individual users.
Update types
Live Update performs three different types of update.
 Maintenance: Changes in the maintenance tables, such as countries, languages, fees, URLs, addresses.
The relevant maintenance tables are automatically updated when starting File Manager after the update has
been downloaded.
 Patch: Changes to the existing software, new features, new national routes.
 Installation: New version of the Online Filing software released following a complete revision.
You can either install updates via Live Update or download the installation files from the EPO website at Online
Services > Online Filing > Download software for filing with the EPO
(http://www.epo.org/applying/online-services/online-filing/download.html).
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Settings for Live Update
The basic settings for Live Update are made in Server Manager.
 Log on to Server Manager with the Administrator user name.
 Go to the Settings tab
The Live Update options are listed on the lower part of the tab.
Figure 527: Live Update settings in Server Manager
Enabling Live Update
The check box for Enable software update system is selected by default.
 Enter how frequently you want to check for updates in the field Check for update every ... day(s).
The default setting is 1 day.
 Select the location of the server you want to check for updates in the Live Update Server Location list.
The only option in the latest version of Online Filing is the EPO's Live Update server in The Hague.
Online Filing automatically checks for updates every time File Manager starts and reports any updates found.
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Live Update with Windows 7/8 and Windows Vista
In the Windows 7/8 and Windows Vista operating systems, only the administrator can perform live updates
manually in Server Manager.
If updates are available, the following message appears when a user opens File Manager for the first time on the
day in question:
Figure 528: Message about an available update when File Manager starts
Connection to Live Update server
If your corporate network uses a proxy server to connect to the Internet, you can enter the relevant data in the
Live Update settings.
 Enter the server name or the IP address of the proxy server in your network in the Server field under Live
Update proxy.
 In the Port field, enter the number of the port that the server should use to set up the connection to the EPO
Live Update server.
 If the proxy server requires authentication, enter the appropriate data in the fields Username and
Password.
E-mail to the user
You can inform the users in your company when a new update is available for installation.
 Enter the address of your mail server in the Server field under Live Update e-mail.
 Server Manager can only send e-mails via your mail server if the outgoing mail server (SMTP) does not
require authentication.
 Enter the e-mail address of the sender in the Sender field.
 Enter the e-mail address(es) of the recipient(s) in the Receiver field.
 If you enter multiple addresses, add a separator after each e-mail address. You can use either commas,
semicolons or line breaks.
 The configuration of a special collective address which forwards mail internally to individual recipients is
recommended.
 To verify your settings, click the Test button.
If all settings are correct, the receivers will get an e-mail. If not, you can find the error log file in the OLF
program folder under C:\Program Files\EPO_OLF5\tools\smanager\logs\SendMail.log.
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Including country-specific procedures in Live Update
Live Update automatically checks for new national procedures or their updates if you selected specific countries
in the Live Update Countries tab.
 Select the appropriate countries.
 If you activated national plug-ins when installing Online Filing, the relevant countries are automatically
selected by default.
Live Update informs you that updates are available for download as soon as the EPO publishes a new national
procedure for one of your selected countries.
Figure 529: Selecting countries for Live Update
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13 Server Manager
Downloading updates
Irrespective of the settings for Live Update, you can check for updates at any time you wish.
 Click the Settings tab in Server Manager.
 Click Check Now.
Online Filing establishes a connection to the EPO's Live Update server and checks for updates for the software
and the selected countries. If so, a message appears asking you if you want to download the updates now.
 The same message appears if Live Update found new updates when starting File Manager.
 Click Yes to download the updates.
Figure 530: New updates found
The Live Update window opens with a list of the updates available.
Figure 531: Updates available for download
Live Update shows all the available updates in order of Date. The entry in the Type column indicates whether it
is a maintenance update, patch or full installation. The Status column shows whether the update is new or has
already been downloaded. An exclamation mark in the Critical column indicates that the EPO considers that the
update is particularly important and should be installed.
Further information about the selected update can be found at the bottom of the window under Package
Content.
 The Install button does not become active until after the update has been downloaded.
 Select the update in the list.
 Click Download.
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Downloading multiple updates
 From the View drop-down list in the top right-hand corner select New.
The Update column now contains a check box for each update.
 Tick the check boxes of the updates you wish to download.
 Click Download.
Downloading an update
With larger files, a progress indicator shows the progress of the download operation.
Figure 532: Progress indicator during Live Update download
Before the files are saved on your hard disk, they are subjected to verification.
Figure 533: Verification of updates after download
Live Update always indicates when downloading and verification are successfully completed.
 Click OK.
Figure 534: Downloading and verification completed.
The downloaded updates are now displayed with Downloaded status in the Live Update window.
 Click Close to exit Live Update without installing any updates.
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13 Server Manager
Installing updates
Installing maintenance updates
Maintenance updates are automatically loaded into the database after the files have been downloaded via Live
Update.
 Download the maintenance update.
 Close both File Manager and Server Manager.
 Start File Manager on the server machine.
 If User Management is enabled, log on as Administrator.
The maintenance update will be loaded before the File Manager window opens.
Installing a patch via Live Update
 In the Live Update window select the update you require.
 Click Install.
Figure 535: Installing a downloaded update
For the update to be installed correctly, all OLF programs and services must be stopped.
 Check the Users tab in Server Manager to see if there are any users currently working on applications and
give them ample warning of the impending disruption of online services.
 Click Yes when the prompt appears.
Figure 536: Pre-installation warning about the termination of Online Filing services
File Manager and any other active services are terminated. The Live Update window remains open in the
background.
The installation program starts.
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Running installation files as a program
 Close the Live Update window.
 Give any logged-on users ample warning of the impending disruption.
 Terminate all active Online Filing services in the Services tab in Server Manager.
 Open the Windows Explorer.
The downloaded updates are stored in the C:\Program Files\EPO_OLF5\fm\config\LU\Installations
folder as executable EXE-files.
Figure 537: Downloaded update files in the EPO_OLF5 program directory
 Double click the update you wish to install.
-ORRight-click the file and select Run as administrator.
The installation program starts.
 Follow the instructions provided by the installation wizard.
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13.11 Data Migration
The Data Migration tab in the Server Manager offers options for migrating data from one server to another or
from the production database to the demo database, without the need to run the installation program. You can
migrate the selected data either to a different hard drive or to a different machine.
Migrating user data
 Copy the complete user administration from the production server to the demo server.
 Export the user administration from the production server to a file.
 Import the user administration from a file to the production server.
Migrating databases
 Move the production database to another storage location.
 Move the demo database to another storage location.
13.11.1
User Data Migration
If your company has been working with Online Filing for some time, your Online Filing administrators may have
created a specific system of user accounts, groups and profiles for your purposes.
When you install Online Filing on a new machine, you can conveniently transfer this user management set-up to
the new installation. Likewise, the user settings of your OLF production server can be copied to your demo server
for testing purposes.
!
Attention: To avoid data conflicts, User Administration should only be copied to or imported into
an empty Online Filing database.
 Open the Data Migration tab.
 Under User Data Migration, select the appropriate option.
 Click Execute.
Figure 538: Options for migrating the User Administration
If users are connected, a warning prompt appears and the action is cancelled.
Figure 539: Warning to disconnect users before exporting or importing user management settings
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Exporting user administration
The export operation creates a ZIP file in the Server Manager's default export directory. The ZIP file is named
useradministration[date]_[time].zip, e.g. useradministration20120628_153639.zip and
contains three files, um.tmp, uma.tmp and umr.tmp.
Figure 540: Locating the user administration file in the Server Manager's export folder
Importing user administration
The User Administration ZIP file can either be copied to the Server Manager's default import directory on the
target machine or it can be located during import.
The Data Migration function opens the default import directory.
 Select the appropriate ZIP file or browse the file system to locate your user administration file.
 Click Open.
Figure 541: Selecting the user administration ZIP file for import to the production server
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13 Server Manager
Database Migration
You can move the Online Filing databases to a different hard disk drive if your server computer's hard disk runs
out of space or if you have to replace the hardware.
By migrating the database to another location, the Online Filing server will be reconfigured to connect to the new
database path.
!
Note: Inform all users to save their work and log out of Online Filing before you start the database
migration.
 Under Database Migration, select the appropriate option:
- Leave the copy of the database in the former location after successful migration (default)
- Delete the copy of the database in the former location after successful migration
 It is recommended to leave the copy of the database in the former location until you are sure that everything
works correctly in the new location.
Figure 542: Options for migrating the OLF database
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Both the production database and demo database can be migrated independently.
 Click the folder icon next to the database path you wish to modify.
 Select an existing folder in your file system or create a new one.
 Click OK.
Figure 543: Selecting a new location for the OLF database
 Wait until the Information prompt appears.
 If the database is very large, the process of copying and verifying the database could take some time.
The new path is displayed in the message.
Figure 544: Confirmation of successful database migration
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14 Glossary
ASCII
American Standard Code for Information
Interchange.
May contain letters, numbers, spaces and
punctuation, but no formatting. Also called a text
file.
CD-ROM
A CD-ROM (Compact Disc Read-Only Memory) is a
CD with permanently stored data. A CD-RW, in
contrast, is rewritable (RW), meaning it permits the
deletion of data on the CD.
Check digit
A check digit contains an algorithm that verifies the
other numbers entered and helps reduce typing
errors.
CORBA
Common Object Request Broker Architecture:
defines cross-platform protocols and services,
eases development of distributed applications in
heterogeneous environments.
CSV
Character separated values.
A file format typically used for data sets where the
data is arranged in columns and rows. The
individual data fields are separated from each other
by delimiters, such as commas.
Default
An automatic selection made by the system when
the user does not specify an alternative.
Delimiter
A special character that sets off, or separates,
individual items in a set of data. Commas and
semi-colons are examples of delimiters commonly
used.
Dock
To move a toolbar or window to the edge of an
application window so that it attaches and becomes
a feature of the application window.
DVD-ROM
A DVD (Digital Video Disc) is an optical data
storage unit like a CD but with significantly more
capacity (approx. 4 GB). It is therefore used
primarily for the storage of video films. DVD-ROM
(Read-Only Memory) are generally used to save
14 Glossary
data. An appropriate DVD burner is needed to write
data to a DVD.
Field
A space in an on-screen form where the user can
enter a specific item of information, for example a
name or a date. Fields may have restrictions on the
length and type of data that may be entered, for
example text only, or numbers in a certain format.
Firebird SQL database server
Firebird is a simplified Open Source spin-off of the
InterBase relational database management system
produced by Borland.
GUI
Graphical User Interface: software component
allowing user interaction with graphical elements in
the program via a mouse and keyboard.
HTTP
HyperText Transfer Protocol: method of transferring
information on the WWW, usually in HTML.
HTTPS
HyperText Transfer Protocol Secure: indicates that
HTTP is used with a different port (443) and an
additional encryption/authentication layer between
HTTP and TCP.
Icon
A small image displayed on the screen that allows
the user to control certain computer actions without
having to remember commands or type them on the
keyboard.
IIOP
Internet Inter ORB Protocol: defined in CORBA,
used to execute remote procedure calls.
LAN
Local Area Network: typically within one building of
a company.
Non-repudiation
To protect and ensure trust in digital signatures, the
parties may employ non-repudiation, which not only
validates the sender, but also time-stamps the
transaction, so it cannot be claimed subsequently
that the transaction was not authorised or was not
valid.
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14 Glossary
ORB
TIFF
Object Request Broker: agent enabling
communication between objects within a distributed
system, for example the Internet.
Tagged Image File Format.
A standard file format commonly used for scanning
and storing grey-scale images. TIF files may be
used for scanned signatures.
Patch
A new feature or function added to a program,
commonly used as an interim measure before
release of a full version of the software.
PDF
Portable Document Format. A file format used in
saving documents. It can be read using free PDF
Reader software.
PIN
Personal Identification Number: a numeric
password shared between a user and a system,
used to authenticate the user to the system.
PMS
Patent Management System.
Port
A port is part of a network address for a server
application running on a computer within the
network. Typical ports are 80 for HTTP Web
servers and 110 for POP3 mail servers.
URL
Uniform Resource Locator.
An address for a resource on the internet. Used by
Web browsers to locate internet resources.
WAN
Wide Area Network: normally across several
offices/subsidiaries of a large company or
organisation, including Internet connection parts in
between.
Workflow
The tracking and management of all activities from
start to finish.
XML
eXtensible Markup Language. XML is a
document-processing standard officially
recommended by the World Wide Web Consortium
and widely accepted throughout the internet
community. It provides a way to define and manage
information. It can be used to check the accuracy
and quality of documents.
Proxy server
A firewall component that manages Internet traffic
to and from a network.
SOAP
Simple Object Access Protocol: using XML for data
display and mainly HTTP for transmission.
SQL
Simple Query Language. Used to query and modify
databases.
SSL
Secure Socket Layer. A protocol for ensuring
security and privacy in internet communications.
Supports authentication of client, server, or both, as
well as encryption during a communication session.
TCP
Transmission Control Protocol.
Used to manage data exchange between
computers via network connections.
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EPO Online Filing 5.08 – User Guide
15 Index
A
Abstract • 152, 157, 158, 190,
193, 219, 329, 332
Accelerated processing • 257
Accelerated search • 219, 228
Accession number • 149, 188,
313
Accompanying items • 325, 338
Account holder • 170, 207, 231,
270, 347, 381
Account number • 170, 207,
231, 270, 347, 381
Acknowledgement • 108, 219,
261, 354
Activate • 15, 408
Additional opponents • 249,
274
Address book • 44, 48, 50, 52,
53, 130, 182, 292, 307
Address for correspondence •
131, 182, 217, 249, 254,
292, 294, 391
Administration • 70, 72, 74, 77,
79, 406, 426, 432
Adobe Acrobat • 91
Affidavit • 269
Agent • 47, 300, 303, 390
Agreement • 137, 317, 318
Alphabetical signatures • 96,
106, 303, 403
Amendments • 189, 190, 219,
369, 392, 394
Amicus curiae • 219
Amino acids • 163, 198, 313,
376
Amyuni PDF converter • 91
Annex C/ST.25 • 313, 325, 340
Annex F • 91, 98, 335
Annotations • 42, 176, 201,
212, 219, 241, 273, 348,
383, 405
APP file • 163, 198, 340, 376,
398
Appeal • 93, 214, 219, 229
Applicant • 47, 48, 131, 143,
182, 217, 294, 303, 317,
318, 319, 384, 388
Application • 25, 27, 28, 29
Application body • 328, 335
Application date • 181, 286
Application number • 108, 146,
179, 181, 213, 217, 242,
247, 363, 387
Application workflow • 37
Archiving • 110, 113, 412, 417
ARIPO • 294
ASCII file • 163, 198, 225, 325,
340, 365, 376
15 Index
Assignment • 219, 317, 318,
365, 368, 369, 372
Association • 136
Attachments • 57, 58, 150, 189,
219, 261, 325, 364
Authentication • 13, 99, 106
Authorisation • 131, 136, 166,
182, 201, 219, 249, 261
Automatic debit order • 170,
207, 231, 270
Auxiliarily • 257
B
Backup • 411, 412
Bank account • 170, 207, 231,
270
Bank transfer • 170, 270, 347,
381
Batch send • 109
Biological material • 149, 188,
219, 313, 338
Biology • 149, 188, 313
Build number • 16
Button • 21, 37
C
Capacity • 298, 303, 360, 362
Card reader • 99, 103
Category (documents) • 190,
219, 225, 373
CD-ROM • 58, 69
Certificate • 99, 104
Certified copy • 126, 310
Changing status • 37, 39, 93,
107
Citations by third party • 219,
261
Claims • 126, 152, 157, 158,
190, 193, 219, 248, 261,
329, 332, 392
Clean copy • 219
Client • 13
Common Representative • 292,
294
Company • 46, 99, 131, 182,
217, 249, 294, 300
Computer readable file • 163,
198, 398
Confirmation • 57
Connections • 408, 420, 421,
425
Consent • 317, 318
Contents • 325
Continuation • 289
Contracting states to the EPC •
122, 143, 186, 243
Conversion • 91, 162, 204
Copies of search report • 170,
207
Copying • 25, 31, 283
CORBA • 13, 408
Corrected demand • 369
Corrections • 365
Correspondence address • 391
Country • 143, 427
Court order • 317, 318
CSV file • 52, 53
Currency • 170, 207, 231, 270,
345
Current account • 170, 207,
231, 270, 347
Customer number • 25
D
Data backup • 113, 412
Database • 27, 110, 113, 411,
434
Deactivate • 15, 408
Debiting • 170, 207, 231, 270
Deceased inventor • 137, 298
Declaration • 315
Declaration sheet • 315, 323
Defects • 365
Deferred execution date • 170,
207, 231, 270
Delete application • 22, 28,
113, 416
Deleting • 22, 28, 46, 113, 417
Demand for international
preliminary examination •
385
Demo mode • 11, 56, 412
Deposit account • 170, 207,
231, 270, 381, 403
Depositary institution • 149,
188, 313
Description (patent) • 152, 157,
158, 163, 193, 198, 219,
261, 329, 332, 392
Designated office • 179
Designated states • 142, 186,
239, 289, 294, 352
Designation • 143, 170, 186,
231, 239, 352
Designation fee • 143, 186, 239
Designation of inventor • 137,
219, 316, 352
Diagnostic file • 16
Digital library • 310
Directories • 56, 424
Disable • 74
Disclosure • 322
Divisional application • 125,
143
Documents • 91, 150, 158, 162,
189, 204, 219, 261, 325, 364
Download • 15, 430
Draft • 25, 27, 35, 37, 116, 283,
419
Drawing • 91, 152, 158, 168,
190, 193, 219, 269, 329,
335, 392
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EPO Online Filing 5.08 – User Guide
E
Earlier application • 125, 126,
146, 166, 310
Earlier search • 365, 368, 369,
372
Editor • 52, 53
Elected office • 179
Employee • 131, 182, 217, 249
Employee, authorised
representative • 98, 99, 131,
182, 217, 249
Employer • 137, 317, 318
Encryption • 59, 99, 425
Entitlement • 131, 249, 317,
318
EP application number • 108,
146, 181, 217, 242, 247
EP Phase • 179
EP(1001E2K) • 120
EP(1038E) • 214
EP(Oppo) • 243
EPC • 142, 179, 186
EPO customer services • 10,
16
EPO online services • 10, 170,
207, 231
Error • 40
Eurasian patent • 294
Euro-PCT(1200E2K) • 177
Evidence • 219, 243, 267, 269
Examination • 385, 392, 394
Examination procedure • 219
Examination report • 190, 201,
219
Excel • 52, 53
EXE file • 432
Exempted offices • 126, 146
Exporting • 52, 110, 111, 114,
115, 358, 417, 423, 434
Extension of time limit • 219,
257, 365, 368, 369, 372
Extension states • 145, 186
F
Facts and arguments • 261,
263
Fee calculation sheet • 338,
345
Fee reduction • 88, 122, 173,
179, 209, 231, 234, 345
Fee reform • 88, 239
Fee schedule • 88, 173, 209,
231, 234, 345, 379
Fee sheet • 345, 404
Fees • 35, 88, 170, 207, 231,
270, 345
Field names • 52, 53
Figure • 152, 157, 158, 329,
335
File Manager • 18, 110, 419
15 Index
File type • 91, 150, 157, 163,
198, 219, 325
Files • 91
Filing date • 363, 387
Filing fee • 120, 173, 177
Filing office • 47, 90, 91, 104,
122, 126, 179, 286, 362
Filtering • 18, 25, 173, 209,
234, 417
First communication • 243, 249
Folders • 22, 25, 27, 31, 58, 85,
115, 424
Forms • 22, 25, 110, 111, 120,
177, 214, 243, 360, 385, 421
G
General authorisation • 131,
136, 182, 201, 261
Generation • 125
Grant • 289
Graphical User Interface (GUI)
• 25, 57, 406
Grounds for opposition • 248
Groups • 70, 72, 77, 84, 85
H
Hearing • 257
Help • 10, 16, 21
Highlighting • 190, 201, 219
History • 423
I
Identity of the inventor • 316
Images • 91, 98, 162
Importing • 53, 116, 117, 119,
358, 419, 434
Incorporation by reference •
365
Info Pane • 18, 29, 40, 72, 108
Inspection of the file • 219
Installation • 13, 15, 432
Interface • 68
Internal notes • 42, 176, 212,
241, 273, 348
International application • 126,
177, 181, 189, 190, 193,
198, 328, 363, 387
International Bureau • 104, 310
International priority • 146, 310
International search • 340
Interpreter • 257
Interveners • 243, 249, 254,
261
Intervention • 243, 246
Inventor • 137, 294, 298, 316,
317, 318, 319, 352
Inventor waiver • 137, 219
IP address • 13, 420, 425
IPEA • 181, 189, 362, 369, 385,
387
IPER • 201, 219
ISA • 181, 207, 286, 362, 368
J
JPG • 91, 98, 162
K
Keyboard • 10
L
Lack of novelty • 248, 322
Lack of unity of invention • 368,
369, 372, 379
Language • 25, 57, 122, 131,
150, 158, 179, 181, 257,
286, 329, 332, 335, 373,
376, 392
Late payment fee • 379, 381
Later filed documents • 365,
376
Legal person • 44, 46, 48, 50,
53, 131, 294, 300, 388, 390
Legal remedies • 219
Limitation • 219
Live Update • 15, 426, 427
Location indicator • 18, 120,
177, 214, 243, 360
Log file • 423
M
Maintenance • 90, 426, 432
Maintenance tables • 90, 432
Mandatory data • 37, 40
Mandatory field • 120, 177,
214, 243, 360, 385
Mapping profiles • 84
Medical certificate • 219, 228
Menu • 18, 21
Menu bar • 18, 120, 177, 214,
243, 278, 360, 385
Message • 40
Microsoft Excel • 52, 53
Microsoft Word • 91
Migration • 434, 436
Missing parts • 365
Modify application • 25, 37
Move application • 22, 27
Moving • 22, 27
N
Names • 46, 48, 50, 130, 182,
217, 249, 292, 307, 364
National priority • 146, 310
National procedures • 15, 408,
427
Nationality • 122, 131, 179, 231
Natural person • 44, 46, 48, 50,
53, 131, 137, 294, 300, 388,
390
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EPO Online Filing 5.08 – User Guide
Navigation bar • 18, 120, 177,
214, 243, 278, 360, 385
Network • 13, 59, 406, 408, 425
Non-patent literature • 219
Non-patentability • 248
Non-public • 219, 228, 266
Non-repudiation • 106, 109
Non-scannable object • 269
Note • 42, 176, 212, 241, 273,
383, 405
Notepad • 52, 53
Notice of appeal • 219
Notice of intervention • 246,
261
Notice of opposition • 246, 261
Nucleotides • 163, 198, 313,
376, 398
Number of pages • 193, 325,
335
O
OAPI • 289, 294
Observations • 261, 274, 369
Online Fee Payment • 170,
207, 231, 270
Online help • 16, 21
Opponents • 243, 249, 254,
261
Opposition • 246, 249
Opposition fee • 270
Oral proceedings • 219, 246,
257
Original document • 91, 158,
162, 204, 269
Other action • 246, 254, 261
P
PACE programme • 146
Package • 358
Page orientation • 91
Paper size • 91
Parent application • 289
Party • 249
Password • 59, 62, 68, 72, 74,
76, 425, 427
Password policy • 62, 72, 76
Patch • 426, 432
Patent number • 247
Patent of addition • 289
Patent Prosecution Highway •
219
PATENTSCOPE • 310
PatXML • 91, 157, 158, 328,
335
Payments • 88, 170, 207, 231,
270, 347
PCT • 47, 91, 278, 289, 360,
385
PCT application number • 146,
181, 213
PCT/RO/101 • 278
15 Index
PCT-DEMAND • 385
PCT-SFD • 360
PDF • 29, 91, 108, 152, 158,
163, 166, 190, 198, 201,
225, 328, 373
PDF viewer • 29, 93, 108, 168,
205, 230, 274, 303, 323,
348, 378, 401, 404
Persons • 44, 53
PIN code • 68, 99, 104, 106,
107, 109
Place of principal business •
122, 131, 179, 231
Plug-in • 15, 408, 427
PMS • 68
PMS gateway • 68
Port • 13, 59, 408, 427
Portable Document Format •
325
Power of attorney • 300, 303,
338, 365, 368, 369, 372, 396
PPH • 219
Pre-conversion archive • 91,
162, 204, 328, 343, 400
Preferences • 56, 60, 424
Preliminary international
examination • 392, 402
Preview • 29, 108, 168, 205,
230, 274, 303, 323, 348, 378
Printing • 29, 108, 168, 205
prior application • 319
Priority • 146, 201, 310
Priority claim • 146, 310, 318,
338
Priority documents • 126, 166,
189, 190, 201, 219, 261, 365
Private remark • 348
Privileges • 70, 79, 84
Procedural language • 25, 31,
57, 122, 150, 158, 168
Procedure • 15, 25, 31, 47
Proceedings • 246, 257
Proceedings before the EPO •
189
Production mode • 11, 56, 406,
412
Profiles • 70, 79, 84
Proprietor of the patent • 243,
254, 261
Protest fee • 379
Proxy server • 59, 425, 427
Publications • 267
R
Ready to send status • 37, 107,
357
Ready to sign status • 37, 57,
93, 354
Receipt • 108, 219, 261, 354
Receiving office • 47, 90, 91,
104, 122, 126, 179, 286,
362, 365
Rectification • 365, 368, 369
Re-establishment of rights •
126, 146, 219, 261, 379
Reference • 126
Refunds • 170, 207, 231, 270
Regional phase • 179, 231, 239
Regional priority • 146, 310
Registration number • 47, 53
Remark • 348
Rename application • 27
Renaming • 22, 27, 57, 72
Replies • 201, 219, 261, 365,
368, 369
Representative • 136, 182, 217,
249, 254, 292, 384, 390
Request • 122, 126, 179, 257,
286
Request for accelerated
processing • 257
Request for accelerated
search/examination • 219,
228
Request for clarification • 219
Request for examination • 122,
179, 219
Residence • 122, 131, 179, 231
Restoration of the right of
priority • 310, 338, 365
Restore • 415
Review procedure • 219
Revocation • 219, 257
Roles • 47
Route • 47
RSS feed • 15
Runtime variable • 67
S
Saving • 27, 29, 283
Search authority • 181
Search reports • 170, 201, 207,
219
Search results • 146, 166, 201,
219, 286
Second communication • 243,
249
Security • 76, 99
Sender • 384
Sending • 69, 107, 109, 357
Sent • 37, 108, 116
SEQ file • 163, 198, 225, 376,
398
Sequence listings • 126, 163,
198, 219, 313, 328, 340,
365, 368, 369, 372, 376, 398
Server • 13, 107, 406, 408, 427
Service • 407, 408
Session • 420, 421, 423
Shortcut menu • 21
Signatory • 303, 319
Signature • 57, 66, 93, 96, 98,
99, 104, 106, 303, 319, 347,
384
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EPO Online Filing 5.08 – User Guide
Signature, digital • 93, 99, 104
Signature, facsimile • 98, 303
Signing • 57, 66, 93, 96, 98,
354, 364, 384
Single file • 152, 332
SISA • 362, 372
Smart card • 57, 66, 68, 93, 99,
103, 106, 107, 384
SOAP • 13, 408
Soft certificates • 57, 104
Sorting • 22, 310
Specific authorisation • 166,
201, 261
Specification • 152, 157, 158,
332
SSL • 59, 425
ST.25 (WIPO) • 91, 126, 163,
198, 313, 365, 376, 398
Statement • 338
Statement of grounds • 248,
257
States • 143, 145, 186, 231,
289
Status • 37, 39
Status bar • 18, 50, 120, 177,
214, 243, 360, 385
Status selection bar • 18
Sub-folder • 22, 31, 85
Submission • 246, 274, 354
Subsequent filing • 213, 242
Subsequently filed documents •
219, 360, 364
Substitute sheets • 365
Sub-tab • 120, 177, 214, 243
Successor • 137, 298
Summons • 249
System settings • 60
T
Tab • 40, 120, 177, 214, 243,
278, 360, 385, 407
Technical documents • 152,
157, 158
Templates • 22, 25, 27, 31, 35,
111, 283, 284
Test reports • 189
Thin client • 13
Third party • 254, 261
Third party observations • 219,
261
TIFF file • 91, 98, 157, 162, 325
Time limit for opposition • 247,
257
Title of invention • 29, 122, 247,
286, 363, 387
Toolbar • 18, 21, 120, 177, 214,
243, 278, 360, 385
Tool-tip • 37, 39, 93, 107
Traffic lights • 278
Transfer of entitlement • 317,
318
Transfer of rights • 219, 261
15 Index
Translations • 122, 150, 158,
166, 190, 201, 219, 261,
269, 338, 365, 369, 394
Transmission to EPO • 69, 107,
109
Trash • 22, 28
TXT file • 163, 198, 340, 376,
398
U
X
XML • 68, 91, 111, 114, 115,
117, 119, 157, 158, 328, 335
Z
ZIP file • 111, 114, 117, 162,
163, 198, 204, 343, 358,
400, 434
Unblock records • 421
Update • 15, 35, 426, 430
URL • 90
US priority documents • 166,
201, 219, 338
User • 11, 70, 72, 74, 76
User Account Control
(Windows) • 406
User administration • 61, 70,
406, 434
User authorisation • 11, 13, 70,
77, 79
User name • 11, 70, 72, 74, 76
User preferences • 56
User reference • 25, 27, 35,
114, 115, 117, 119, 213,
242, 281, 354
User session • 408, 421, 423
User support • 10, 16
V
Validation • 40, 168, 205
Validation icons • 40, 120, 177,
214, 243, 278, 360, 385
Validation Log • 310, 348
Validation messages • 40, 56,
278, 310, 348
Validation states • 145, 186
Variable • 67
Version • 16
View • 18, 22, 29, 40
W
WAD • 358
Waiver for communication •
179, 219
Warning • 40
Window • 40, 42
Windows 7 • 406, 427
Windows 8 • 406, 427
Windows Vista • 406, 427
WIPO • 91, 104, 177, 278
Withdrawals • 219, 257, 365,
369, 372
Witnesses • 243, 249, 254, 257
Workflow • 37, 39, 93, 107, 353
Working directories • 58, 424
Page 443 of 443
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