EPO Online Filing User Guide

EPO Online Filing User Guide
EPO Online Filing
User Guide
Version 5.05
Copyright© European Patent Office
All rights reserved
Last update: 26/04/2013
Document version: OLF5-05_UserGuide_EN_121107.doc
EPO Online Filing 5.05 – User Guide
Table of contents
Table of contents
1
Legal notices
7
2
Introduction
8
2.1
2.2
3
Overview of Online Filing
3.1
3.2
3.3
3.4
4
Help and Support ...........................................................................................................................9
Typographical conventions .............................................................................................................9
Network-based online filing ...........................................................................................................12
National procedures in Online Filing ..............................................................................................14
Updating the Online Filing software...............................................................................................14
Help on using Online Filing ...........................................................................................................15
File Manager
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
10
17
Toolbars.......................................................................................................................................20
Folders.........................................................................................................................................21
Applications..................................................................................................................................24
4.3.1
Creating a new application..............................................................................................25
4.3.2
Saving applications.........................................................................................................26
4.3.3
Renaming applications....................................................................................................27
4.3.4
Moving applications ........................................................................................................27
4.3.5
Previewing applications ..................................................................................................28
4.3.6
Deleting applications.......................................................................................................30
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
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4.10
4.11
4.12
4.13
5
5.3
5.4
5.5
6
System Preferences .....................................................................................................................60
4.10.1 Signing settings ..............................................................................................................61
4.10.2 Runtime variables...........................................................................................................62
4.10.3 PMS gateway interface ...................................................................................................63
4.10.4 Filing settings .................................................................................................................64
User Administration ......................................................................................................................65
4.11.1 Users .............................................................................................................................67
4.11.2 Unblocking users............................................................................................................68
4.11.3 Changing passwords ......................................................................................................70
4.11.4 Groups...........................................................................................................................71
4.11.5 Profiles for group authorisations ......................................................................................73
4.11.6 List of privileges..............................................................................................................75
4.11.7 Mapping profiles to groups..............................................................................................78
4.11.8 Activating folders for groups............................................................................................79
Fee management .........................................................................................................................81
Maintenance table viewer .............................................................................................................83
Processing applications
5.1
5.2
6.2
6.3
84
Preparing documents for attachment.............................................................................................84
Signing applications......................................................................................................................86
5.2.1
Alphabetical signatures...................................................................................................89
5.2.2
Facsimile signatures .......................................................................................................91
5.2.3
Smart cards....................................................................................................................92
5.2.4
Checking the smart card .................................................................................................96
5.2.5
Soft certificates...............................................................................................................97
5.2.6
Non-repudiation signature...............................................................................................99
Sending applications...................................................................................................................100
5.3.1
Viewing receipts ...........................................................................................................101
5.3.2
Batch sending ..............................................................................................................102
Exporting data from Online Filing ................................................................................................103
5.4.1
Exporting items.............................................................................................................104
5.4.2
Deleting items from the database after archiving............................................................106
5.4.3
Exporting data as XML to ZIP file ..................................................................................107
5.4.4
Exporting data as XML to folder ....................................................................................108
Importing data into Online Filing..................................................................................................109
5.5.1
Importing data as XML from ZIP file ..............................................................................110
5.5.2
Importing data as XML from folder.................................................................................112
EP(1001E2K)
6.1
Table of contents
113
EP(1001E2K) Request................................................................................................................115
6.1.1
Request details.............................................................................................................116
6.1.2
Divisional application ....................................................................................................118
6.1.3
Reference ....................................................................................................................120
EP(1001E2K) Names .................................................................................................................124
6.2.1
Applicants ....................................................................................................................125
6.2.2
Representatives ...........................................................................................................128
6.2.3
Inventors ......................................................................................................................129
EP(1001E2K) States...................................................................................................................132
6.3.1
Designating contracting states ......................................................................................132
6.3.2
Extension states ...........................................................................................................135
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6.4
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) Priority..................................................................................................................135
EP(1001E2K) Biological Material.................................................................................................138
EP(1001E2K) Documents ...........................................................................................................139
6.6.1
Attaching PDF files .......................................................................................................141
6.6.2
Attaching XML and PatXML files ...................................................................................145
6.6.3
Technical documents in other languages.......................................................................146
6.6.4
Pre-conversion archive .................................................................................................150
6.6.5
Sequence listings .........................................................................................................151
6.6.6
Additional documents ...................................................................................................154
6.6.7
Viewing attached documents.........................................................................................156
EP(1001E2K) Fee Payment........................................................................................................158
6.7.1
Payment details............................................................................................................158
6.7.2
Fee selection................................................................................................................161
EP(1001E2K) Annotations ..........................................................................................................164
Euro-PCT(1200E2K)
7.1
8.4
8.5
8.6
165
Euro-PCT(1200E2K) EP Phase ..................................................................................................167
7.1.1
Entry into the European phase ......................................................................................167
7.1.2
Past Record .................................................................................................................168
Euro-PCT(1200E2K) Names.......................................................................................................169
Euro-PCT(1200E2K) States ........................................................................................................174
Euro-PCT(1200E2K) Biological Material......................................................................................175
Euro-PCT(1200E2K) Documents ................................................................................................176
7.5.1
Amendments and translations .......................................................................................177
7.5.2
Document Overview .....................................................................................................180
7.5.3
Sequence listings .........................................................................................................185
7.5.4
Additional documents ...................................................................................................188
7.5.5
Pre-conversion archive .................................................................................................191
7.5.6
Previewing attached documents....................................................................................192
Euro-PCT(1200E2K) Fee Payment .............................................................................................194
7.6.1
Payment details............................................................................................................194
7.6.2
Fee selection................................................................................................................196
Euro-PCT(1200E2K) Annotations................................................................................................199
Subsequent filing with Euro-PCT(1200E2K) ................................................................................200
EP(1038E)
8.1
8.2
8.3
Table of contents
201
EP(1038E) Application Number...................................................................................................203
EP(1038E) Names......................................................................................................................203
EP(1038E) Documents ...............................................................................................................205
8.3.1
Document types for EP(1038E) by category ..................................................................210
EP(1038E) Fee Payment ............................................................................................................215
8.4.1
Payment details............................................................................................................215
8.4.2
Fee selection................................................................................................................218
8.4.3
Designation of states ....................................................................................................221
EP(1038E) Annotations ..............................................................................................................223
Subsequent filing with EP(1038E) ...............................................................................................224
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9
EP(Oppo)
9.1
9.2
9.3
9.4
9.5
9.6
9.7
Table of contents
225
EP(Oppo) Opposition..................................................................................................................228
9.1.1
Reference ....................................................................................................................229
9.1.2
Grounds .......................................................................................................................230
EP(Oppo) Names .......................................................................................................................231
9.2.1
Persons in conjunction with "Notice of opposition or intervention"...................................231
9.2.2
Persons in conjunction with "Other action".....................................................................236
EP(Oppo) Requests ...................................................................................................................239
EP(Oppo) Documents.................................................................................................................243
9.4.1
Documents...................................................................................................................243
9.4.2
Evidence - publications .................................................................................................247
9.4.3
Evidence - other ...........................................................................................................249
EP(Oppo) Fee Payment..............................................................................................................250
EP(Oppo) Annotations................................................................................................................252
EP(Oppo) Previewing the completed form ...................................................................................253
10 PCT/RO/101
10.1
257
Creating a new PCT/RO/101 application .....................................................................................260
10.1.1 Saving the form ............................................................................................................262
10.1.2 Working with templates.................................................................................................263
10.2 PCT/RO/101 Request.................................................................................................................265
10.3 PCT/RO/101 States....................................................................................................................268
10.4 PCT/RO/101 Names...................................................................................................................271
10.4.1 Applicant ......................................................................................................................273
10.4.2 Inventor........................................................................................................................277
10.4.3 Agent ...........................................................................................................................279
10.4.4 Power of attorney document .........................................................................................282
10.4.5 Adding names from the Address Book to a form and vice versa .....................................286
10.5 PCT/RO/101 Priority...................................................................................................................289
10.6 PCT/RO/101 Biology ..................................................................................................................292
10.7 PCT/RO/101 Declarations...........................................................................................................294
10.7.1 Declaration as to the identity of the inventor...................................................................295
10.7.2 Declaration as to applicant's entitlement to apply for and be granted a patent .................296
10.7.3 Declaration as to applicant's entitlement to claim priority ................................................297
10.7.4 Declaration of inventorship............................................................................................298
10.7.5 Declaration as to non-prejudicial disclosures or exceptions to lack of novelty..................301
10.7.6 Previewing declaration sheets.......................................................................................302
10.8 PCT/RO/101 Contents................................................................................................................304
10.8.1 International Application................................................................................................307
10.8.2 PDF attachments..........................................................................................................308
10.8.3 Single specification file (PDF)........................................................................................310
10.8.4 XML attachments..........................................................................................................313
10.8.5 Accompanying Items ....................................................................................................316
10.8.6 Sequence listing ...........................................................................................................318
10.8.7 Pre-conversion archive .................................................................................................321
10.9 PCT/RO/101 Fees ......................................................................................................................322
10.10 PCT/RO/101 Payment ................................................................................................................324
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Table of contents
10.11 PCT/RO/101 Annotate................................................................................................................325
10.11.1 Designating inventor for certain states only....................................................................329
10.12 Processing the PCT/RO/101 application......................................................................................330
10.12.1 Signing the form ...........................................................................................................331
10.12.2 Sending the form ..........................................................................................................334
10.12.3 Exporting and importing a form .....................................................................................335
11 Server Manager
337
11.1
11.2
11.3
11.4
11.5
11.6
11.7
11.8
11.9
Server Manager overview ...........................................................................................................338
Services management ................................................................................................................339
Database management (Back up, restore, empty) .......................................................................342
Exporting items...........................................................................................................................347
Importing items...........................................................................................................................349
User sessions.............................................................................................................................350
Unlocking forms..........................................................................................................................351
History .......................................................................................................................................353
Settings......................................................................................................................................354
11.9.1 Settings for file locations ...............................................................................................354
11.9.2 Default Network Settings...............................................................................................355
11.10 Live Update................................................................................................................................356
11.10.1 Settings for Live Update................................................................................................357
11.10.2 Downloading updates ...................................................................................................359
11.10.3 Installing updates..........................................................................................................361
11.11 Data Migration............................................................................................................................363
11.11.1 User Data Migration......................................................................................................363
11.11.2 Database Migration.......................................................................................................365
12 Glossary
367
13 Index
369
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EPO Online Filing 5.05 – User Guide
1
Legal notices
Copyright
© European Patent Office (EPO), 2012. 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 website and go to Applying for a patent > Online services > Online filing >
Download documentation (http://www.epo.org/applying/online-services/onlinefiling/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 5.05 – User Guide
2
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/applying/online-services.html).
What this guide contains
This guide details the features of File Manager 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/applying/online-services.html).
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 5.05 – User Guide
2.1
Help and Support
The EPO operates a helpdesk for Online Filing users.
Send us your question using our contact form (http://forms.epo.org/service-support/contact-us/contact2form.html).
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 – 18.00 hrs. CET
Tel.:
+31 (0)70 340-4500
Fax:
+31 (0)70 340-4600
e-mail:
[email protected]
Internet:
Online filing on the EPO website (http://www.epo.org/applying/onlineservices/online-filing.html)
Contact us online on the EPO website (http://www.epo.org/servicesupport/contact-us.html)
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 will withdraw customer support for Online Filing versions Service Pack 3
(and earlier).
 As of 1 March 2013, the EPO is planning to cease accepting applications filed with Online Filing versions
Service Pack 3 (and earlier). However, PCT applications to the EPO as receiving office will still be accepted
by the office's receiving server.
2.2
Typographical conventions
The following kinds of formatting in the text identify special information.
Formatting
Usage
Object
Objects within the application, such as windows, options, menu items or field
names.
Button
Items which you can click, such as command buttons or icons.
Text Entry
Text that you enter in fields when completing a form.
KEY
Keys that you press on your computer keyboard, e.g. Shift, CTRL or ALT.
KEY+KEY
Keys that you press at the same time appear in CAPS with a plus sign.
Filename.ext
Name and extension of files used in Online Filing.
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EPO Online Filing 5.05 – User Guide
3
Overview of Online Filing
Online Filing version 5.05 lets you file EP, Euro-PCT and PCT applications with the EPO and make submissions
within the opposition, appeal, limitation and revocation procedure. 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 with 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 5.05 – User Guide
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
Create user names and manage user privileges
Save names and contact details in the Address Book
Customise File Manager to suit individual user preferences
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. 225).
Form EP(1038) can also be used to submit an appeal and/or documents filed subsequently in appeal
proceedings. Please note that these filings may only be signed using a smart card issued to a person
authorised in the appeal 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 also be filed with this form. Please note, however, 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.
 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).
At present, the online filing option is not available for documents filed subsequently in the PCT procedure.
These forms may be used to create drafts for new applications. 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 5.05 – User Guide
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
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. 92) 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.
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EPO Online Filing 5.05 – User Guide
 Enter the correct IP address of the server or its computer name in your network (available from your system
administrator).
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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EPO Online Filing 5.05 – User Guide
3.2
National procedures in Online Filing
All national procedures compatible with Online Filing are integrated by default in the software as standalone plugins and are systematically installed. Individual plug-ins can be activated and deactivated subsequently as
required under Services management (p. 339) in the Server Manager tool.
You can select the options Typical and Custom when setting up Online Filing as a server installation or standalone 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. 356) 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)
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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/applying/onlineservices.html) or go to http://www.epo.org/rss/online-services.xml.
3.4
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.
 For more addresses, scroll down this pane.
The lower part of the window contains information on all the national procedures installed.
 Scroll down this pane to see all the plug-ins.
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.
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 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.
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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4
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
highlighted in grey after you click the Search button
. Click Search again 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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4.1
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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4.2
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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4.3
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.
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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.
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 form on which the application is transmitted to the EPO will be created in this language. This setting does
not affect 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. 260) 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).
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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)
4.3.2
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. 262) in the section on
PCT/RO/101 or in the online help for form PCT/RO/101.
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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.
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.
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The application is now in the selected folder.
Figure 16: Selecting the folder where you want to move an application
4.3.5
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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4.3.6
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.
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.
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4.4
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. 263) 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.
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 Click Save.
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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4.4.2
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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4.5
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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4.5.2
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. 330) 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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4.6
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. 257) 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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4.7
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. 164).
 For instructions on annotations and notes in form PCT/RO/101, please refer to PCT/RO/101 Annotate
(p. 325) 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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4.8
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. 286) 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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4.8.1
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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4.8.2
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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4.8.4
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 corresponding message in the status bar is
displayed.
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. 125)
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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4.8.5
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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4.9
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. 10).
 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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4.9.2
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. 61). 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 deactivating 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.
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. 100). 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
 Working directories are not applicable when working with the PCT procedure.
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.
 Select the encryption version in the SSL Version field - this must match the OLF server settings (see
"Default Network Settings" p. 355).
 If required, enter username and password for authorisation at the proxy server.
Figure 65: User-specific settings for network connections
Please contact your system administrator if you are unsure about the information you need to enter in your
situation.
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4.10
System Preferences
The System Preferences window allows you to make general settings that apply to all users of Online Filing.
System preferences may only be modified by users belonging to a group with an appropriate profile of privileges.
You will be notified if your user account does not authorise you to modify system preferences.
 In File Manager select System Preferences from the Tools menu.
-ORClick the System Preferences button.
 Click Save to apply your settings.
You are prompted to restart the File Manager for the changes to take effect.
In the System Preferences window, the basic settings for File Manager are listed under General.
Figure 66: System preferences for the File Manager
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Version and date of installation
When dealing with the EPO User Support team, it is always helpful to be able to specify the version or build
number of the software installed as displayed on the upper part of the screen. The File Manager and Form
modules can have different version numbers, depending on when they were installed or updated by the Live
Update routine.
Security and User Management
Only the Administrator can modify the Enable User Management option. The default setting is selected for
the first time when Online Filing is installed. If user management is activated, all users must enter their user
name and password to log on to File Manager.
The Enable Folder Management option governs whether or not the Folders tab is active in User
Administration (see "Activating folders for groups" p. 79). This option is not enabled by default.
4.10.1
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 67: System preferences for signing
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4.10.2
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 68: 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 69: Yellow validation icon for the Fee Payment tab after changing the runtime variable
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4.10.3
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
(http://www.epo.org/applying/online-services.html):
 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/onlineservices/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 70: 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 compatibilitytested 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.
4.10.4
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 71: Settings for EP filing, "Online" send method
The default setting can be changed to Physical Media.
Figure 72: 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 73: 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 activate User Administration in Online Filing 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 activated, users are always prompted to log on with their user name and password when
starting File Manager in Online Filing.
!
Attention: Make sure you create a second user with full administrator rights, i.e. with authorisation
to perform user administration. The Administrator's user name 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 activating or deactivating the User management option, the File Manager must be restarted.
!
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. 363) 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 (p. 60).
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 74: User Administration with unsaved entries
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4.11.1
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.
 The Administrator is automatically created when installing the software and cannot be renamed or deleted
later
!
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.
 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 in the Last saved field in the Info Pane (see "Validation" p. 40),
so it should be readily identifiable to all system users (see example below).
 Enter a password for the new user and re-enter it for confirmation in the Verification field.
 Users can change their password later by selecting Change password from the Tools menu.
Figure 75: New user with login name
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.
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The user inherits all privilege profiles assigned to these groups.
Figure 76: Adding users to a group
 Finally click the Save All button.
4.11.2
Unblocking users
Online Filing automatically disables a user account after three successive attempts to log on with the wrong
password.
Figure 77: 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's user name 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.
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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 78: 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.
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 79: 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.
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 Click the Save All button to complete the operation and re-activate the administrator account.
Figure 80: Removing the block on the "Administrator" user account
4.11.3
Changing passwords
Users are only prompted to enter a username and password when starting File Manager if the Enable User
Management option is selected for File Manager in the System Preferences (p. 60).
The administrator generates usernames and default passwords for user access to Online Filing. The
administrator can change the passwords for all users in User Administration, for instance, if a user forgets a
password. Of course, the administrator can also change his or her own password here.
All users who logged on to Online Filing's File Manager can change their own password.




In File Manager select Change password from the Tools menu.
Enter your old password.
Enter your new password, and then enter it again to confirm.
Click OK to activate it.
Figure 81: Changing your own password
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4.11.4
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 82: 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. 78).
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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 83: 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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4.11.5
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 84: 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 85: Edit privileges for profile
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4.11.6
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.
See Other Users' Folders
View contents of other user's private folders.
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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4.11.7
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 86: Check privileges after mapping profiles to groups
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4.11.8
Activating folders for groups
In the Folders tab, you can define which of the user-defined folders in File Manager may be seen and used by a
specific user group. All folders are activated by default for the Administrators group.
 The Folders tab is only active if the Enable Folder Management option was selected under Security
and User Management in the System Preferences (p. 60) window.
 Click a group name on the left.
All folders that were created in File Manager by users with appropriate authorisation are listed in the window's
central pane.
The folders and sub-folders that are currently released for the selected group are shown on the right.
 Select the check box for the folder you want in the central pane.
If a parent folder is selected, all of its sub-folders are also selected, even those yet to be created.
The check box for the Templates folder is always selected and cannot be changed. In this example, the
Templates folder contains further sub-folders. These become visible and can be individually selected if you
double-click the Templates heading.
 Finally click the Save All button.
The folders are then displayed on the right with their sub-folders in the sequence in which they will be seen in File
Manager by the selected user group.
Figure 87: Enabling folders for a group
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The following folders are then displayed for the user Elizabeth Miners from the Assistants group when she
logs on to File Manager:
Figure 88: Folders visible for a user
The folder 2013 was subsequently created and is automatically released because its parent folder, Nano
Enterprise, has already been assigned to the Assistants group.
The system folders All Applications, Default Folder, Forms, Templates and Trash are visible to all users.
Rights to the individual objects contained in the folders (applications and templates, for instance) are defined by
privileges, however, which are assigned to users based on the group they belong to.
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4.12
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 5.05 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 89: 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. 356). 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 90: New fee amount entered
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4.13
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 91: Common Maintenance, Filing Offices Table
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5
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. 84).
 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. 86).
 The application is sent to the receiving office, either electronically or physically; see Sending applications
(p. 100).
 Applications and templates can be exported from Online Filing for backup and archiving purposes; see
Exporting data from Online Filing (p. 103).
 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. 109).
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/onlineservices/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/).
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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.
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 must not exceed A4. Online Filing issues a warning if the document's paper size is larger and
will not attach the PDF 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.
Problems fixed in version 5
 Paper size in the PDF file may exceed A4 or US letter format by up to 5%; thus, sizes up to 312 mm by 227
mm or 12.28" by 8.94" are accepted.
 A mixture of landscape and portrait formats is allowed in a file.
 US priority documents in US letter format can be attached.
 PDF files scanned with HPDigitalSender are accepted.
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5.2
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. 89).
2. Facsimile
An electronic file containing a scanned image of a handwritten signature is attached to the application; see
Facsimile signatures (p. 91).
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. 92).
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)
Please note that under Article 8(2) of the aforementioned decision of the President, the
authenticity of documents filed in appeal proceedings (Articles 106 to 112a EPC) must
be confirmed by means of an enhanced electronic signature of a person authorised to act
in the proceedings in question.
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 92: 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 93: 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. 330) 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 94: Tooltip "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 95: PDF Viewer with "Sign Now" button
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5.2.1
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 96: 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 97: 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 98: Other options in the Sign Application window
The following message box appears while Online Filing is processing the text signature.
Figure 99: 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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5.2.2
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. 84).
 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 100: 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 101: 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 102: 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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!
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. 96).
Enter your PIN code.
Enter the Place of signing (optional).
Click Sign.
Figure 103: 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 104: 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), EuroPCT(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 105: 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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5.2.4
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 106: 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 107: Check smart card
The smart card is checked. The Smart Card Checker displays the message "Smart Card recognized".
Figure 108: 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 109: Smart card not recognized
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5.2.5
!
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 110: 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 111: Applicant signing with soft certificate and PIN code
The following message box appears while Online Filing is processing the digital signature.
Figure 112: 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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5.2.6
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 113: 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 114: Prompt to sign for non-repudiation
The application is signed for non-repudiation and the sending dialogue appears.
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5.3
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 115: Sending application to demo server
 Enter your PIN at the prompt.
Figure 116: 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 117: Progress indicator while sending application
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5.3.1
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 118: 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 119: Viewing the acknowledgment of receipt after filing
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5.3.2
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 120: 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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5.4
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. 104).
 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. 107).
 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. 108).
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. 335) 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. 347) 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. 106).
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5.4.1
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 121: 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.
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 Click OK to confirm the file location.
Figure 122: 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 123: Exported ZIP file contents
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5.4.2
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. 104).
Figure 124: 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 Database management (Back
up, restore, empty) (p. 342).
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5.4.3
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 125: Enter file name for exporting XML to ZIP
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5.4.4
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 126: 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 127: 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. 349) 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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5.5.1
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 128: 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 129: 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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5.5.2
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 130: 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)
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 payment method, 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. This field must either be
filled manually or you must 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 131: 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 132: 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 on the right.
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6.1
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 of the request for examination
Waiver, Rule 70(2)
Procedural language
Language of the technical documents
Title of the invention in English, French and German
Divisional
1. Mandatory divisional application (Rule 36(1)(b) EPC) or voluntary divisional application (Rule 36(1)(a)
EPC)
2. Application number and date of filing of earlier application
3. Application number and date of filing of relevant earliest application, if this is different from the earlier
application
4. Date of first communication
Reference
1.
2.
3.
4.
Declaration that the application is an Article 61(1)(b) application
Reference to a previously filed application
Data relating to the previously filed application
Various options as to how the referenced application is to be used in the procedure
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6.1.1
Request details
Filing office
 In the Request sub-tab select an option from the Filing office list.
This information is mandatory.
 In addition to the EPO, this list includes all national patent offices that allow online filing with the
EP(1001E2K) procedure.
 If required, select the check box Request for examination in an admissible non-EPO language and
choose the relevant language.
The sentence "Examination of the application under Art. 94 is hereby requested" appears in the line below in
the language you selected.
 If you wish, select 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 choose this option, do NOT
select Automatic debit order in the Fee Payment tab but opt for a different mode of payment ("Payment
details" p. 158). This makes sure that the examination fee can be paid. The appropriate validation message
(level 3) is displayed in the Fee Payment tab.
Figure 133: Request for examination in Italian
Procedural language and language of the technical documents
The default setting for the procedural language is the language selected in the settings; see Creating a new
application (p. 25). However, you can change this language in the form to one of the three official languages:
English, French or German.
 If required, change the language by selecting an entry from the Procedural language list under the
Request sub-tab.
 Select the required language for the technical documents under Language in which attached or
previous application filed.
The default setting is the procedural language you selected.
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The drop-down lists for Admissible language of an EPC contracting state and Other language become
active when you select the corresponding option.
Figure 134: 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)
 The EPO grants a reduction of 20% on the examination fee for applications submitted in an EPC language.
 The option Admissible language of an EPC contracting state is only allowed if the applicant is either a
national of or has his or her place of residence in one of the EPC contracting states. Otherwise, a yellow
validation icon appears in the Request tab.
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 135: Title of the invention in German, English and French
Once you have entered all the mandatory information the red validation symbol will no longer appear in the
Request button in the navigation bar.
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6.1.2
Divisional application
Divisional applications can only be filed with the EPO. If you selected a different filing office in the Request tab,
you will not be able to enter any data in the Divisional tab.
!
Note: European divisional applications must be filed within 24 months of the date of notification of
the first communication (Rules 36(1)(a) and (b) and 126(2) EPC).
 Select the Divisional application check box.
This activates the tab's other fields for editing.
Mandatory Divisional Application
The option Mandatory divisional application (Rule 36(1)(b) EPC) is checked by default
 Enter the Application number of earlier application.
 Enter the Date of filing (Art. 80/Rule 40 EPC).
 Enter the Date of first communication where objections under Art. 82 were raised.
Figure 136: Data concerning a mandatory divisional application (Rule 36(1)(b) EPC)
Voluntary Divisional Application
 Select the option Voluntary divisional application (Rule 36 (1) (a)).
 Enter the Application number of earlier application.
 If applicable, select the check box Relevant earliest application is different from the earlier
application.
 Enter the Application number of earliest application.
 This number must be different from the Application number of earlier application.
 Enter the Date of filing (Art. 80/Rule 40 EPC) (for the earlier application).
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 Enter the Date of first communication.
Figure 137: Data concerning a voluntary divisional application (Rule 36(1)(a) EPC)
No communication received
 If you want to file a divisional application but have not yet received any communication from the EPO's
Examining Division in relation to the earlier application, select the option No communication received.
 Enter the Application number of earlier application.
 Enter the Date of filing (Art. 80/Rule 40 EPC).
Figure 138: Data concerning a divisional application with no communication received
Deleting data
 Clear the Divisional application check box.
All data entered is immediately removed from the form.
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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
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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 139: Reference to a previously filed EP application
Reference to a previous PCT application
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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 140: Reference to a previous PCT/US application
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Reference to a previous international or national application
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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 141: Reference to a previous international or national application
Additional options depending on other application-specific data
Figure 142: Additional options in the "Reference" sub-tab
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 beside Number of claims in previous application.
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 143: Error message: Claims required
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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. 154).
Figure 144: A copy of the search results must be provided
The 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, US, JP or GB office. An appropriate message
(grey validation icon) appears.
Figure 145: Earlier applications filed with the US, GB, JP or EP office are not required to file search results
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 146: A certified copy of the previously filed application must be supplied
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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. 151).
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. 154)) or
enter the text in the Annotations tab.
Figure 147: 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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6.2
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 148: 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 application
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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6.2.1
Applicants
A minimum of one applicant is required for filing, although you can designate multiple natural and legal persons
as applicants.
 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 149: 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.
 Click the Add button and select Address from the drop-down list.
 Note that the Representatives options have disappeared from the list.
Figure 150: Adding address for correspondence with the first-named 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.
 If you delete the first-named applicant, the address for correspondence will also be removed from the
form.
Figure 151: Separate address for correspondence with the first-named 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.
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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.
Figure 152: 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.
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6.2.2
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 153: 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. 154).
Figure 154: Details relating to the general authorisation of the representative
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6.2.3
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 155: 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 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.
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 Select the appropriate option to describe the legal relationship between first-named applicant and inventor.
Figure 156: Details of inventor
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 157: 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.
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
Open the PDF Viewer; see Viewing attached documents (p. 156).
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. 154) in Form EP(1001E2K).
-ORSubmit it as a subsequently filed document with Form EP(1038E) (p. 201).
Figure 158: Inventor waiver (Rule 20(1) EPC) generated by Online Filing
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6.3
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 tab.
 You can specify the extension states you want in the Extension tab.
The options for designated states and extension states depend on when you last updated your software.
!
Note: Please make use of the Live Update (p. 356) service to update the Online Filing software
as well as the maintenance and fees data.
If your application is a divisional application or refers to an earlier application the states available for selection
also depend on the filing date of the earlier application. The states available are those states which were
contracting states or extension states at the time of filing of the earlier application.
The latest version of 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).
6.3.1
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 159: All contracting states to the EPC designated
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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 160: Reference to contracting states valid at the time of filing of the earlier application
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, CH/LI, DE and IT have been deselected.
Figure 161: Designating different states for different applicants
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 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, CH/LI, DE, IT, MC and MT. MC and
MT are therefore designated for both applicants.
Figure 162: Designating individual states for further applicant
The list in the lower part of the form indicates all states that were selected for at least one of the users.
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 EP(1038E) Documents (p. 205).
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6.3.2
Extension states
In the Extension 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 163: Selecting extension states
6.4
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 international office. After the letters US enter the four
digits for the year, followed after the second forward slash by the six digits of the application number.
 0.0 when you select EP as the regional office. EP application numbers consist of 8 digits, a full stop and a
check digit.
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.
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 To initiate accelerated processing under the PACE programme, select the option It is not intended to file
a (further) declaration of priority.
Figure 164: 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. 120).
 If the selected office is not exempt from the obligation to file the search results, a yellow validation symbol
appears in the Priority tab.
 If the selected office is EP. GB, US or JP, being exempted from the obligation, a grey validation symbol
appears.
 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 165: Declaration of national priority, reference to the search results required under Rule 141(1) EPC
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6.5
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 166: Details of deposited biological material
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6.6
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 167: 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 168: 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 169: 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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6.6.1
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 170: Navigating to where the documents you want to attach are saved
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The file is attached and renamed to 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 171: 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 appropriate check box for the attached document.
 You can only attach Description, Claims or Abstract once; these check boxes are disabled when you
go to attach the next file. However, you can add as many drawings as you wish.
 Repeat the process until all components are attached.
The software automatically recognises and enters all page numbers.
 Enter additional data for the individual documents:
 Claims: Number of claims
 If the abstract also contains a drawing: Figure to be Published with Abstract
 Drawings: Number of Drawings
Figure 172: 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 The claims will be filed later on the left-hand side below the list of attached
documents.
Figure 173: Option to file claims later selected
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6.6.2
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. 84).
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




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.
The number of claims and drawings is identified by the software and automatically inserted.
 Enter the number of the Figure to be published with abstract.
Figure 174: Attaching technical documents in XML format
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6.6.3
Technical documents in other languages
The options available for adding technical documents depend on the language settings selected for the
procedure 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.
 Navigate to your PDF document and attach it.
The file is renamed SPECNONEPO.pdf.
 Enter the Number of claims.
 Enter the Number of figures.
If your document does not have any drawings, enter 0.
 Specify an entry in the field Figure to be published with abstract.
Figure 175: Attaching the Italian original
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 Click the Add button again and select Translations into German (XML).
 Navigate to your XML document filtro_translation.xml and add it.
The file is renamed application-body.xml.
 If necessary, enter a number for Figure to be published with abstract.
The number of claims and the number of figures are automatically transferred from the XML document.
Should these figures not match your original values a red validation icon will appear in the Documents
button. You should then correct the data for your original document (SPECNONEPO.pdf).
Figure 176: 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.
 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 177: 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.
The first file is renamed SPECTRANEPO-1.pdf.
 Select the check box for Drawings.
The second file is renamed SPECTRANEPO-2.pdf.
 Finally, select the check boxes for Description, Claims and Abstract and enter the page numbers for the
components.
Figure 178: Documents in Italian and translations in German attached
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6.6.4
Pre-conversion archive
Should you wish to add your original documents to the submission, you can make use of the pre-conversion
archive functionality. This option allows you to add your original documents, before PDF or XML conversion, in
a compressed ZIP format. This may be helpful if you feel that the EPO should also have access to your original
files in case conversion errors occur. These documents 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 case of quality
issues.
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 179: Attaching pre-conversion archive
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6.6.5
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 180: 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 181: 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 182: 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. 120) 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 183: 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 184: 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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6.6.6
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 185: 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 186: 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 symbol in the Documents tab tells you what to do; see
Reference (p. 120).
 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 187: Adding search results for earlier application
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6.6.7
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 188: 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 189: Attached drawings shown in the PDF Viewer
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6.7
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 EUR.
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
Select a bank to which you will transfer the fees. The bank sort code and EPO account number will then
appear.
 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 warning 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.
Figure 190: Entering payment details for deposit account
Bank transfer
 Select Bank transfer as Mode of payment.
 Select the appropriate Bank from the list.
 This information is mandatory.
The EPO's bank account number is supplied automatically.
Figure 191: Selecting the bank for bank transfer as mode of payment
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Further options
Additional options are available in the Fee Payment tab below the account information.
 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.
 Enter the EPO deposit account number where applicable 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 validation 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 192: Other options for fee payment in Form EP(1001E2K)
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6.7.2
Fee selection
Frequently paid fees such as filing fee 001 are automatically selected and calculated by the software.
Other fees such as extension fees or fee 055 for additional copies of the search report become applicable based
on the selections you make in the form.
The validation messages indicate which fees are to be paid.
Figure 193: Validation messages with information on the fees to be paid
 Select the check boxes for all necessary fees.
The relevant quantity is already entered.
The fee amount is automatically calculated.
Figure 194: 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
 Initial fees: Fees normally associated with a European patent application, e.g. filing, search and claims fees.
 Selected fees only: all fees selected for the current application.
Figure 195: 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
In the default setting you cannot edit the fee amounts in Form EP(1001E2K). If however you wish to edit certain
fee amounts you can select this option on an individual basis. If you do so, the EPO will no longer check the fees
you have selected for this application and will invoice you for the total amount shown/debit the amount shown
from your deposit account.
 Click 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.
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 Enter the new amount.
Figure 196: 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 197: 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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6.8
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 198: 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.
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7
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 payment method, 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. This field must either be
filled manually or you must 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 199: 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 200: 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 on the right.
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7.1
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.
 Select the check box Request for examination in an admissible non-EPO language (where
appropriate).
If you select this option, the list of languages on the right becomes available.
 Select a 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.
 If appropriate, tick the check box for The applicant waives his right to indicate whether he wishes to
proceed further with the application (Rule 70(2) EPC).
This option is only active if you do NOT select the EPO as the International Searching Authority (ISA)
under Past Record.
 This waiver does not apply until after payment of the examination fee. Account holders participating in the
automatic debiting procedure should pay any examination fees due on entry into the European phase using
another permitted mode of payment (see "Payment details" p. 194).
 Select the option The applicant waives his right to the communication under Rules 161(1) or (2)
and 162 EPC, if applicable.
 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. 194).
Figure 201: Information on entry into the European phase
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7.1.2
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 must 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).
 Select the option for the International Preliminary Examining Authority (IPEA).
 These options are only available if you select the EPO as elected office option in the Entry into the
European phase section.
Figure 202: Information on the past record in the EP Phase tab
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7.2
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 203: Applicant details
Removing names from the application
 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 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 204: Adding address for correspondence with the 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.
Figure 205: 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.
Updating address for correspondence from previous OLF versions
If you open an application based on Form Euro-PCT(1200E2K) which was created with an OLF version prior to
the January 2012 release, an address for correspondence will NOT be imported if no applicant is indicated.
You will be advised of this by way of a note in the Annotations tab, informing you which parts of the previous
address for correspondence have not been imported. Please read that note carefully, correct the address data as
required and delete the note afterwards. There will be a yellow validation icon in the Names tab and a red
validation icon in the Annotations tab until you delete the note.
Figure 206: Annotation from eOLF System referring to address for correspondence
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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 207: Applicant is represented by an employee
The name of this employee will be automatically entered 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.
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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 208: 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. 188).
Figure 209: Entering details of authorisation for representative
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7.3
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. You may also select extension states.
 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 Law & practice > Legal texts >
European Patent Convention (http://www.epo.org/law-practice/legal-texts/epc.html).
Designation
In the Designation tab under the heading All states which are contracting states to the EPC at the time
of filing of this application are hereby designated you will see a list of all the contracting states. All the
states are automatically selected and cannot be edited.
Figure 210: All contracting states designated
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 211: Selection of extension states
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7.4
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 212: Deposit details for biological materials
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7.5
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, highlighted annotations/amendments and
handwritten amendments to amended technical documents as the document type Handwritten
amendments in the Additional documents (p. 188) 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 213: Options for documents in proceedings
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7.5.1
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 Handwritten amendments
in the Additional documents (p. 188) 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 214: Selecting document category for amendments and translations
 Navigate to the PDF file location.
 Select the file and click Open to attach it.
Figure 215: 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 216: 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 217: Amended abstract and translations attached
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7.5.2
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. 167).
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 218: 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 219: 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.
 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 220: 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 221: 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 222: Calculation of the total number of pages in the Document Overview tab
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7.5.3
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 223: 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 224: 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 225: 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 226: 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 227: 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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7.5.4
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
Handwritten amendments
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 228: 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 229: 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 230: The reply to the written opinion on the international preliminary examination report (IPER) is attached
Search results
Under Rule 141(1) EPC, amended with effect from 1 January 2011, 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 231: Adding search results from the office of first filing
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Handwritten amendments
Since 1 June 2011 you can also file documents with subsequent annotations, highlighted
annotations/amendments and handwritten amendments to amended technical documents as the document type
Handwritten amendments:
 Amended claims with annotations
 Amended description with annotations
 Amended drawings with annotations
 Click the Add button.




Select Handwritten amendments.
Navigate to the required file and select it, e.g. the amended claims with annotations.
Click Open to attach the file.
Select the document type Amended claims with annotations from the list.
The file is renamed CLMS-HWA.pdf.
Figure 232: Document with handwritten amendments attached
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7.5.5
Pre-conversion archive
Should you wish to add your original documents to the submission, you can make use of the pre-conversion
archive functionality. This option allows you to add your original documents, before PDF conversion, in a
compressed ZIP format. This may be helpful if you feel that the EPO should also have access to your original
files in case conversion errors occur. These documents 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 case of quality issues.
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 233: Pre-conversion archive containing original documents attached
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7.5.6
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 234: 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 235: Number of claims and information on the use of documents in the PDF preview of Form Euro-PCT(1200E)
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7.6
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 EUR.
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
Select a bank to which you will transfer the fees. The bank sort code and EPO account number will then
appear.
 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.
Figure 236: 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 warning tells you to verify the deposit
account number. The same rule applies to the deposit account number for reimbursement.
Further options
Additional options are available in the Fee Payment tab below the account information.
 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.
 Enter the EPO deposit account number where applicable 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.
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This option is only available if the EPO was NOT selected as the International Searching Authority (ISA) in
the EP Phase tab.
The validation message (yellow validation 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 237: Other options for fee payment in Form Euro-PCT(1200E2K)
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 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. 180) 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.
 Select the check boxes for all fees to be paid.
The relevant quantity is already entered.
The fee amount is automatically calculated.
Figure 238: Selecting fees for payment
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The validation messages indicate which fees are to be paid.
Figure 239: Validation messages with information on the fees to be paid
Filtering the fees displayed
You can filter the list of fees by selecting one of the options in the Show list:
 All fees
 Initial fees: Fees normally associated with a European patent application, e.g. filing, search and claims fees.
 Selected fees only: all fees selected for the current application.
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
In the default setting you cannot edit the fee amounts in Form Euro-PCT(1200E2K). If however you wish to edit
certain fee amounts you can select this option on an individual basis. If you do so, the EPO will no longer check
the fees you have selected for this application and will invoice you for the total amount shown/debit the amount
shown from your deposit account.
 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 240: Editing reduction for 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 241: 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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7.7
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 242: 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.
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7.8
Subsequent 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 EuroPCT(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 243: 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
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)
Form EP(1038E) has many more uses than just submitting documents filed subsequently in the European
patent procedure:
 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. 225).
 Form EP(1038) should be used to submit an appeal and/or documents filed subsequently in appeal
proceedings. Please note that these filings may only be signed using a smart card issued to a person
authorised in the appeal 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 also be filed with this form. 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.
 You can also use Form EP(1038E) exclusively to pay a fee.
 If you want to file documents subsequently for an application already sent using the EP(1001E2K) procedure
in Online Filing, you can transfer this data directly; see Subsequent filing with EP(1038E) (p. 224).
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 payment method, 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. This field must either be
filled manually or you must 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 244: 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 245: 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 on the right.
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8.1
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 246: 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 247: 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.
 Note: The name of this employee will be automatically entered 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 248: Applicant's details filled in
Removing names from the application
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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8.3
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. 210).
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.
 EP(1038E) may NOT be used for the PCT patent grant procedure.
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 249: 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 250: Selecting category for attached document
 Select the appropriate document from the Document type drop-down list.
Figure 251: Selecting document type from the selected category
The file is renamed to the Online Filing default file name.
Figure 252: The attached document is renamed to the default OLF file name
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Example 1 - Designation of contracting states is withdrawn




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 253: 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 254: Withdrawal documents attached
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EPO Online Filing 5.05 – User Guide
Example 2 - A request for accelerated processing is submitted as a non-public document
Version 5.05 of the Online Filing software lets you submit documents in non-public proceedings to the EPO.
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Attention: You cannot attach a combination of both public and non-public documents to Form
EP(1038E), i.e. all documents must be EITHER public OR non-public. If you want to attach an
assortment of documents, please send two separate forms 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 Request for accelerated search/examination.
 The file is renamed 1005.pdf.
Figure 255: 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 256: Validation message after attaching public and non-public documents
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Viewing attached documents in the print preview
 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.
Figure 257: Attached files in the PDF Viewer
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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.
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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
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
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
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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 193 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 drawings
Translation of priority document
Translation of the abstract
Waiver in respect of communication under Rule 161/161 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
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)
Medical certificate
Non-public annex
PPH: documents for examination
PPH: documents for search
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Request
Request
Request
Request
for accelerated search/examination
for certified copies of the application
for inspection of the file
for participation in the Patent Prosecution Highway (PPH)
Appeal
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Annexes (other than cited documents) regarding appeal procedure
Annexes (other than cited documents) regarding review procedure
Evidence in support of the appeal
Letter relating to Appeal procedure
Letter relating to the review procedure
Non-patent literature cited during the appeal procedure
Notice of Appeal
Patent Document cited during the appeal procedure
Statement of grounds of 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 documents with handwritten amendments or
highlighted annotations/amendments.
 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
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 Modified abstract
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
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 (Non-public)
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 drawings
Translation of previously filed application
Translation of priority document
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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8.4
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.
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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. 215).
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
Under Payment details 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
Select a bank to which you will transfer the fees. The bank sort code and EPO account number will then
appear.
 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 und 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.
Figure 258: Selecting mode of payment
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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 warning tells you to verify the deposit
account number. The same rule applies to the deposit account number for reimbursement.
Further options
Additional options are available in the Fee Payment tab below the account information.
 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.
 Enter the EPO deposit account number where applicable and supply the account holder's name.
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Schedule of fees
The fee reform of 1 April 2009 introduced a number of changes, in particular with regard to the designation and
claims fees.
There are two possible options for applications filed with Form EP(1038E):
 (A) The schedule of fees dated 1 April 2009 applies to filings relating to applications for which the date of
filing or date of entry into the regional phase is on or after 1 April 2009. This is the default option.
 (B) If the filing relates to an application for which the date of filing or date of entry into the regional phase is
before 1 April 2009, then the previous schedule of fees applies.
 Select the appropriate fee schedule option.
Figure 259: Options for selecting the correct fee schedule
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8.4.2
Fee selection
There is no fee selected by default in Form EP(1038E).
 Select the check boxes for all 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 260: Selecting fees
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.
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Changing the fee quantity
The value in the Quantity column can be edited for the following fees:
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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
520 - Additional filing fee for the 36th and each subsequent page - entry into EP phase
 Select the fee you wish to change.
 Click the Quantity field.
 Enter the new amount.
Figure 261: Changing the quantity for a selected fee
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 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 262: Recalculated total of the fees selected
Editing fee amounts
In the default setting you cannot edit the fee amounts in Form EP(1038E). If however you wish to edit certain fee
amounts you can select this option on an individual basis. If you do so, the EPO will no longer check the fees you
have selected for this application and will invoice you for the total amount shown/debit the amount shown from
your deposit account.
 Tick the Edit fee amounts check box.
 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 263: 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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8.4.3
Designation of states
The Designation states sub-tab is only available if you selected both Date of filing or entry into regional
phase before 01.04.2009 (Payment details sub-tab) and fee 005 - Designation fee for each state
designated (max. 7x) (Fee selection sub-tab).
Date of filing or entry into the regional phase on or after 1 April 2009
 Select fee 005e - Designation fee - For all Contracting States designated in the Fee selection tab.
The Designation states sub-tab is not visible.
Figure 264: All contracting states designated
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Date of filing or entry into the regional phase prior to 1 April 2009
 Select fee 005 - Designation fee for each state designated (max. 7x).
The Designation states sub-tab becomes 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 265: Selecting states for designation fees
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8.5
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 266: 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.
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8.6
Subsequent filing with EP(1038E)
Instead of creating a new application with the EP(1038E) form, you can simply copy the data from the first filing
you created and sent with the EP(1001E2K) form and on which the subsequent filing should be based.
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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 267: 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:
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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
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.
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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 - requests, submission of documents, payments, third-party observations
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).
All persons involved in these proceedings can use the form to designate other representatives, submit requests
and documents, pay fees or write annotations for the EPO.
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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 payment method, 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. This field must either be
filled manually or you must 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 268: 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 269: 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 on the right.
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9.1
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 270: 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 271: 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
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 272: Information on the opposed patent entered in the "Reference" sub-tab
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9.1.2
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 273: Stating the grounds for opposition
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9.2
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 274: 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 application
 Select the name to be removed on the left-hand side of the form.
 Click the Delete button.
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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.
 Note: The name of this employee will be automatically entered 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 275: 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.
 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 276: Address for correspondence entered for the first-named opponent
 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.
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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 277: 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 278: Designation of the intervener's witness, summons via the party
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9.2.2
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 279: 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 280: 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 281: Designation of third party
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9.3
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.
Figure 282: 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 283: 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 284: 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 285: Request for revocation of the patent by the proprietor
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9.4
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. 84).
9.4.1
Documents
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:
 The only options available in the event of opposition are:
 Facts and Arguments
 Other documents
 If the Other action option is selected, you can:
(a) As proprietor of the patent
 Reply to notice(s) of opposition -OR Reply to an examination report in opposition proceedings
 Main request document
 Separate auxiliary request document
 Acknowledgement of receipt
 Other documents
(b) As 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) -OR Reply to an examination report in opposition proceedings
 Acknowledgement of receipt
 Other documents
(c) As third party
 Attach cited documents such as patents and other publications
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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 286: Facts and arguments document attached
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




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 287: 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 288: 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 289: Translation of claims attached




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 290: Advice of delivery attached by the proprietor
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9.4.2
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
 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 291: Information on 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 292: Information on an Internet publication as evidence
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9.4.3
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.
 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 293: Further documents attached as evidence
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9.5
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.
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.
EPO deposit account numbers are made up of eight digits, starting with 28.
 Select the Bank transfer option if you want to transfer the fees to one of the EPO's bank accounts.
The Bank field becomes mandatory.
The number of the bank account appears with the bank sort code (RIB) in the Bank account field when
you select the relevant bank.
 Select Not specified if you are not sure how you will be settling the fees.
A red validation icon now appears on the Fee Payment button. The associated message indicates that the total
fee amount is zero.
Figure 294: Details on fee payment
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!
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 warning tells you to verify the deposit
account number. The same rule applies to the deposit account number for reimbursement.
Further options
Additional options are available in the Fee Payment tab below the account information.
 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.
 Enter the EPO deposit account number where applicable and supply the account holder's name.
Fee selection
 Click the Fee selection sub-tab.
 Tick the check boxes for the fees to be paid.
The fee amount is automatically calculated.
Figure 295: Selecting the fees payable
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).
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9.6
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.
Figure 296: Opponent annotation for the EPO
 To add notes that are NOT intended for the EPO, please use the Internal notes (p. 42) function.
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9.7
EP(Oppo) 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 297: 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 298: 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 299: 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 300: PDF view of the "Observation by third parties (Art. 115 EPC)" form
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10 PCT/RO/101
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 301: 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. 331).
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. 331).
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 302: 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. 325).
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10.1
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 303: 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 304: 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 305: 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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10.1.1
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 306: 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 307: Options in the closing dialog
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10.1.2
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 308: 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 309: Editing the properties of a template
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 In the following dialogue, enter the Template description.
 Click Save.
Figure 310: 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. 260).
Figure 311: Creating a new application from a PCT/RO/101 template
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10.2
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 312: 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 313: 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 314: 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 315: Deleting reference to earlier search results
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10.3
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 316: 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 317: 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 318: 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 319: National parent applications entered, switching to OAPI parent application
 Enter the details.
 Click OK.
Figure 320: 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 321: Check box is selected and indicates references to parent applications
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10.4
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. 286).
Figure 322: 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 323: Removing person from the Names tab
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10.4.1
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 324: 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 325: 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 326: 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 327: 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 328: 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 329: Details concerning Special Address for Correspondence, legal entity
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10.4.2
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 330: 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 331: Selecting capacity for the successor to the rights of the deceased inventor
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10.4.3
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 332: 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 333: Details concering 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. 282).
Figure 334: Options for 2. Agent in the Names tab
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10.4.4
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 335: 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 336: 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 337: 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 338: 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 339: 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 340: 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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10.4.5
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 341: 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 342: 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 343: Namen vom Formblatt in das Adressbuch übernehmen
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.
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 Open the Address Book, verify and amend the data if necessary.
Figure 344: New entry in the Address Book with data copied from the form
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10.5
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 345: 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 346: 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 347: 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. 325).
Figure 348: Validation messages referring to priority claims
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10.6
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. 318) 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 349: 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. 316) 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. 273).
Figure 350: Entering details for biological material
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10.7
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 351: Declaration options
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10.7.1
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 352: 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 353: Declaration as to the identity of the inventor added
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10.7.2
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 354: 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 355: 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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10.7.3
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 356: 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 357: 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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10.7.4
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 358: 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 359: Entering details concerning inventor for declaration of inventorship
 Back in the Declarations window, click Sign.
Figure 360: 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 361: Adding signatories to declaration of inventorship
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10.7.5
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 362: 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 363: Entering data for disclosure
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10.7.6
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 364: List of declarations
The Declarations window opens.
 Click the Preview icon in the toolbar.
Figure 365: 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 366: Previewing declaration sheets in the PDF viewer
The PDF Viewer closes.
 Click OK to return to the Declarations main tab.
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10.8
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. 84) 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 367: 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. 313) 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 368: 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 369: 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. 308).
 Click OK when ready.
Figure 370: 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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10.8.1
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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10.8.2
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 371: Abstract attached
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.
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 Click OK to return to the Contents main tab.
Figure 372: Drawings attached
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 373: All required documents are properly attached
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10.8.3
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 374: 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 375: 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. 308).
Figure 376: "Abstract is not included" option triggers a corresponding validation message
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10.8.4
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 377: 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 378: 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
corresponding warning message will be displayed.
 Please make sure that you entered the correct language in both the PatXML file and the Request tab.
Figure 379: Warning message if language attribute mismatch occurred
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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 380: 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 381: Green traffic light for the Contents tab
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10.8.5
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 382: Selecting document type for attachment in the Accompanying items sub-tab
 Then click Add.
Figure 383: 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 384: Opening the document for attachment
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 Click the Open button, navigate to the corresponding file and attach it.
Figure 385: 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 386: Other document to be specified
 Enter a document description.
 Click Add.
Figure 387: Description for other document entered
The new item is created in the document check list.
Figure 388: 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 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 389: 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. 292).
(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 390: 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 391: 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 392: 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 393: 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 394: 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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10.8.7
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 EPO strongly recommends attaching a pre-conversion archive in addition to your application
documents.
A pre-conversion archive is a ZIP file containing all your original patent application documents before you
converted them into PDF, XML or any other format. This archive file may also be submitted to the receiving office
in case of problems with the attached documents.
 Create the ZIP file using either Windows Explorer or another suitable archiving utility, e.g. WinZip or WinRAR.
 Double-click Pre-conversion archive in the International Application sub-tab.
Figure 395: Opening the pre-conversion archive option to attach a ZIP file
 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 396: Pre-conversion archive attached
The attached ZIP archive is opened as a temporary folder in Windows Explorer.
Figure 397: Previewing the contents of the pre-conversion archive
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10.9
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 398: 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 399: 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 400: 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 401: 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 402: Entering authorisation for payment from deposit account
The Signature window opens; see also Power of attorney document (p. 282).
 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 403: 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 404: 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 405: 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 406: 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 407: 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 408: 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 409: Validation Log showing messages
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10.11.1
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 410: Editing designated states for an inventor
The View/Change States window opens.
 Select the countries as appropriate; see the instructions under Applicant (p. 273).
The selected states are displayed in the list of inventors.
Figure 411: 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/attached.
Figure 412: Application is ready for signing
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10.12.1
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.
 If Start signing immediately when moving application forward from draft status is not selected
(default), the Sign button will move the application to the Ready to sign status in the File Manager, from
where you can start the signing process.
 If that option is selected, the Sign button prepares the application for signature and opens the signing
dialogue immediately.
Signing from the File Manager
 Select the application and click the Next button (the tool-tip indicates "Ready to sign").
 Proceed as described in Signing applications (p. 86) in the Online Filing user guide or in the File Manager
online help.
Figure 413: Launching the signing process from the File Manager
Signing from the form
 Click the Sign icon in the form toolbar.
Figure 414: Starting the signing process from the form
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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 415: Preparing the application for submission
The data is saved, the form is rendered and the files are compressed and stored in the database.
 Click Continue.
Figure 416: The application data has been prepared for submission
The PDF Viewer opens.
 Click Sign Now in the bottom right-hand corner.
 Proceed as described in Signing applications (p. 86) in the Online Filing user guide or in the File Manager
online help.
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!
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 417: Representative signing the PCT/RO/101 application with his smart card
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10.12.2
Sending the form
In the File Manager, the application is in Ready to send status.
 Select the application and click the Next workflow button ("Send" is displayed as the tool-tip).
 Proceed as described in Sending applications (p. 100) in the Online Filing user guide or in the File Manager
online help.
Figure 418: 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 419: Submission details and receipt information available in the Annotate tab
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10.12.3
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. 103) and Importing data into Online Filing (p. 109) 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 420: 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 421: 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.
Figure 422: PCT/RO/101 application exported as file package
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11 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 5.05 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. 65) window.
Figure 423: Login to Server Manager
Starting Server Manager in Windows 7 and Windows Vista
You need to be granted Windows Administrator privileges to start the Server Manager under Windows 7 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 424: 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) and Allow (Windows Vista) respectively in the User Account Control window.
The Server Manager login window then appears.
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11.1
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 425: Server-Manager - Overview
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11.2
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 426: Services running and stopped
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Button
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 427: Activate service
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The selected service is activated but not automatically started.
 Click the Start as service button.
Figure 428: 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 429: Deactivating a service that was stopped
 You cannot deactivate EPO OLF standard services, that is, EPO OLF File Manager, the four EPO OLF plugins and the EPO PCT plug-in.
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11.3
Database management (Back up, restore, empty)
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 430: 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 431: 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 432: Backup complete, new file added to list
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.
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 Click the Delete button.
Figure 433: Deleting multiple backup files
You will be prompted for confirmation if you select multiple files to be deleted.
Figure 434: The Server Manager prompts for confirmation to delete multiple backup files
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 435: 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. 354).
 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 436: Settings for the automatic backup procedure
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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 437: Reminder to restart the File Manager service, thereby activating the automatic backup
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 438: Warning message if there are active user connections
 In the Restore logging prompt, click Start.
Figure 439: Restore logging prompt
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The Question window prompts you to confirm that the data in the database will be overwritten.
 Click Yes.
Figure 440: Warning before restore will overwrite data in the database
The database will be restored.
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. 350).
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 441: 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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11.4
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 442: 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 443: 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 444: 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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11.5
Importing items
The Import tab shows all the applications available in the default import folder; see Settings for file locations
(p. 354). 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 445: 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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11.6
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 446: 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 447: Terminate user
The connection will be terminated. In File Manager or in the form, the user will receive the following message:
Figure 448: User info - connection to server lost
11.7
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 449: 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 450: 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 451: Unlocking a record also terminates the user session
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11.8
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 452: 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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11.9
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.
11.9.1
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 453: 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 454: Example of individual settings for file locations
11.9.2
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.
 Use the SSL Version drop-down list to select the SSL version used in your company for data encryption.
 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.
Figure 455: Network settings
 Please contact your system administrator if you are unsure about the information needed in your situation.
SSL Versions
Online Filing supports the SSL versions SSLv2, SSLv3, SSLv23 and TLSv1.




SSLv2 is the least secure encryption method and is only used nowadays by older applications.
SSLv3 is the default setting for Online Filing because it is compatible with most networks.
SSLV23 is compatible with systems that operate with SSLv2 or SSLv3.
TLSv1 is the latest version and offers the maximum security in terms of data encryption. Although TLSv1 is
already supported by most browsers, it must be specially activated in the network settings.
 Please note that the SSL version selected in the User Preferences (p. 56) window must match the SSL
versions in the Server Manager settings for Internet-based data exchange to work.
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11.10 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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11.10.1
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 456: 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 and Windows Vista
In the Windows 7 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 457: 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 addresses of the recipients in the Receiver field.
 If you enter multiple addresses, insert a line break after each e-mail address as a separator.
 The configuration of a special collective address which forwards mail internally to individual recipients is
also 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.
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.
Page 358 of 372
EPO Online Filing 5.05 – User Guide
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 458: Selecting countries for Live Update
11.10.2
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 459: New updates found
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EPO Online Filing 5.05 – User Guide
The Live Update window opens with a list of the updates available.
Figure 460: 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.
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 461: Progress indicator during Live Update download
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EPO Online Filing 5.05 – User Guide
Before the files are saved on your hard disk, they are subjected to verification.
Figure 462: Verification of updates after download
Live Update always indicates when downloading and verification are successfully completed.
 Click OK.
Figure 463: 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.
11.10.3
Installing updates
Installing maintenance updates
Maintenance updates are automatically installed when you start File Manager. To complete the maintenance
update all you have to do is download the files from Live Update.
Installing a patch via Live Update
 In the Live Update window select the update you require.
 Click the Install button.
Figure 464: Installing a downloaded update
Page 361 of 372
EPO Online Filing 5.05 – User Guide
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 465: 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.
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 466: 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.
Page 362 of 372
EPO Online Filing 5.05 – User Guide
11.11 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.
11.11.1
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 467: Options for migrating the User Administration
Page 363 of 372
EPO Online Filing 5.05 – User Guide
If users are connected, a warning prompt appears and the action is cancelled.
Figure 468: Warning to disconnect users before exporting or importing user management settings
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 469: 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.
Page 364 of 372
EPO Online Filing 5.05 – User Guide
 Click Open.
Figure 470: Selecting the user administration ZIP file for import to the production server
11.11.2
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 471: Options for migrating the OLF database
Page 365 of 372
EPO Online Filing 5.05 – User Guide
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 472: 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 473: Confirmation of successful database migration
Page 366 of 372
EPO Online Filing 5.05 – User Guide
12 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 semicolons 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
Page 367 of 372
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.
EPO Online Filing 5.05 – User Guide
ORB
Object Request Broker: agent enabling
communication between objects within a distributed
system, for example the Internet.
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.
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 developed by Netscape Communications
Corporation 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.
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Used to manage data exchange between
computers via network connections.
TIFF
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.
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.
EPO Online Filing 5.05 – User Guide
13 Index
A
Abstract • 141, 145, 146, 177,
180, 210, 308, 310
Accelerated processing • 239
Accelerated search • 210
Accession number • 138, 175,
292
Accompanying items • 304, 316
Account holder • 158, 194, 215,
250, 324
Account number • 158, 194,
215, 250, 324
Acknowledgement • 101, 210,
243, 331
Activate • 14, 339
Additional opponents • 231,
253
Address book • 44, 48, 50, 52,
53, 124, 169, 271, 286
Address for correspondence •
125, 169, 203, 231, 236,
271, 273
Administration • 65, 67, 68, 71,
73, 337, 356, 361
Adobe Acrobat • 84
Affidavit • 249
Agent • 47, 279, 282
Agreement • 129, 296, 297
Alphabetical signatures • 89,
99, 282
Amendments • 176, 177, 210
Amino acids • 151, 185, 292
Amyuni PDF converter • 84
Annex C/ST.25 • 292, 304, 318
Annex F • 84, 91, 313
Annotations • 42, 164, 188,
199, 210, 223, 252, 325
APP file • 151, 185, 318
Appeal • 86, 201, 210
Applicant • 47, 48, 125, 132,
169, 203, 273, 282, 296,
297, 298
Application • 24, 25, 26, 27, 28,
30
Application body • 307, 313
Application date • 168, 265
Application number • 101, 135,
167, 168, 200, 203, 224, 229
Application workflow • 37
Archiving • 103, 106, 342, 347
ARIPO • 273
ASCII file • 151, 185, 304, 318
Assignment • 210, 296, 297
Association • 128
Attachments • 57, 58, 139, 156,
176, 205, 243, 304
Authentication • 12, 92, 99
Authorisation • 125, 128, 154,
169, 188, 210, 231, 243
Page 369 of 372
Automatic debit order • 158,
194, 215, 250
Auxiliarily • 239
B
Backup • 342
Bank account • 158, 194, 215,
250
Bank transfer • 158, 250, 324
Batch send • 102
Biological material • 138, 175,
210, 292, 316
Biology • 138, 175, 292
Build number • 15
Button • 20, 37
C
Capacity • 277, 282
Card reader • 92, 96
Category (documents) • 177,
205, 210
CD-ROM • 58, 64
Certificate • 92, 97
Certified copy • 120, 289
Changing status • 37, 39, 86,
100
Claims • 120, 141, 145, 146,
177, 180, 210, 230, 243,
308, 310
Clean copy • 210
Client • 12
Common Representative • 271,
273
Company • 46, 92, 125, 169,
203, 231, 273, 279
Computer readable file • 151,
185
Confirmation • 57
Connections • 339, 350, 351,
355
Consent • 296, 297
Contents • 304
Continuation • 268
Contracting states to the EPC •
116, 132, 174, 225
Conversion • 84, 150, 191
Copies of search report • 158,
194
Copying • 25, 31, 262
CORBA • 12, 339
Country • 132, 357
Court order • 296, 297
CSV file • 52, 53
Currency • 158, 194, 215, 250,
322
Current account • 158, 194,
215, 250, 324
Customer number • 25
D
Data backup • 106, 342
Database • 26, 103, 106, 342,
363
Deactivate • 14, 339
Debiting • 158, 194, 215, 250
Deceased inventor • 277
Declaration • 294
Declaration sheet • 294, 302
Delete application • 21, 30,
106, 342
Deleting • 21, 30, 46, 106, 347
Demo mode • 10, 56, 342
Deposit account • 158, 194,
215, 250
Depositary institution • 138,
175, 292
Description (patent) • 141, 145,
146, 151, 180, 185, 210,
243, 308, 310
Designated office • 167
Designated states • 132, 174,
221, 268, 273, 329
Designation • 132, 158, 174,
215, 221, 329
Designation fee • 132, 174, 221
Designation of inventor • 129,
210, 295, 329
Diagnostic file • 15
Digital library • 289
Directories • 56, 354
Disable • 68
Disclosure • 301
Divisional application • 118,
132
Documents • 84, 139, 141, 146,
150, 156, 176, 191, 205,
243, 304
Download • 14, 359
Draft • 25, 26, 35, 37, 109, 262,
349
Drawing • 84, 141, 146, 156,
177, 180, 210, 249, 308, 313
E
Earlier application • 118, 120,
135, 154, 289
Earliest application • 118
Editor • 52, 53
Elected office • 167
Employee • 125, 169, 203, 231
Employee, authorised
representative • 91, 92, 125,
169, 203, 231
Employer • 129, 296, 297
Encryption • 59, 92, 355
entitlement • 125, 169, 231,
296, 297
EP application number • 101,
135, 168, 203, 224, 229
EP Phase • 167
EPO Online Filing 5.05 – User Guide
EP(1001E2K) • 113
EP(1038E) • 201
EP(Oppo) • 225
EPC • 132, 167, 174
EPO customer services • 9, 15
EPO online services • 9, 158,
194, 215
Error • 40
Eurasian patent • 273
Euro-PCT(1200E2K) • 165
Evidence • 225, 247, 249
Examination procedure • 210
Examination report • 177, 188,
210
Excel • 52, 53
EXE file • 361
Exporting • 52, 103, 104, 107,
108, 335, 347, 353, 363
Extension of time limit • 210,
239
Extension states • 135, 174
F
Facts and arguments • 243
Fee calculation sheet • 316,
322
Fee reform • 81, 221
Fee schedule • 81, 161, 196,
215, 218, 322
Fees • 35, 81, 158, 194, 215,
250, 322
Field names • 52, 53
Figure • 141, 145, 146, 308,
313
File Manager • 17, 103, 349
File type • 84, 139, 145, 151,
185, 205, 304
Files • 84
Filing fee • 113, 161, 165
Filing office • 47, 83, 84, 97,
116, 120, 167, 265
Filtering • 17, 24, 161, 196,
218, 347
First communication • 225, 231
Folders • 21, 25, 27, 31, 58, 60,
79, 108, 354
Forms • 21, 25, 103, 104, 113,
165, 201, 225, 351
G
General authorisation • 125,
128, 169, 188, 243
Grant • 268
Graphical User Interface (GUI)
• 25, 57, 337
Grounds for opposition • 230
Groups • 65, 67, 71, 78, 79
H
Handwritten • 177, 188, 210
Page 370 of 372
Hearing • 239
Help • 9, 15, 20
Highlighting • 177, 188, 210
History • 353
I
Identity of the inventor • 295
Images • 84, 91, 150
Importing • 53, 109, 110, 112,
335, 349, 363
Info Pane • 17, 28, 40, 67, 101
Inspection of the file • 210
Installation • 12, 14, 361
Interface • 63
Internal notes • 42, 164, 199,
223, 252, 325
International application • 120,
165, 168, 176, 177, 180,
185, 307
International Bureau • 97, 289
International priority • 135, 289
International search • 318
Interpreter • 239
Interveners • 225, 231, 236
Intervention • 225, 228
Inventor • 129, 273, 277, 295,
296, 297, 298, 329
IP address • 12, 350, 355
IPEA • 168, 176
IPER • 188, 210
ISA • 168, 194, 265
J
JPG • 84, 91, 150
Mandatory field • 113, 165,
201, 225
Mapping profiles • 78
Medical certificate • 210
Menu • 17, 20
Menu bar • 17, 20, 113, 165,
201, 225, 257
Message • 40
Microsoft Excel • 52, 53
Microsoft Word • 84
Migration • 363, 365
Modify application • 25, 37
Move application • 21, 27
Moving • 21, 27
N
Names • 46, 48, 50, 124, 169,
203, 231, 271, 286
National priority • 135, 289
National procedures • 14, 339,
357
Natural person • 44, 46, 48, 50,
53, 125, 129, 273, 279
Navigation bar • 17, 113, 165,
201, 225, 257
Network • 12, 59, 337, 339, 355
Non-patent literature • 210
Non-patentability • 230
Non-public • 205, 210
Non-repudiation • 99, 102
Non-scannable object • 249
Note • 42, 164, 199, 223, 252
Notepad • 52, 53
Nucleotides • 151, 185, 292
Number of pages • 180, 304,
313
K
Keyboard • 9
L
lack of novelty • 230, 301
Language • 25, 57, 116, 139,
146, 167, 168, 239, 265,
308, 310, 313
Legal person • 44, 46, 48, 50,
53, 125, 273, 279
Legal remedies • 210
Limitation • 210
Live Update • 14, 356, 357
Location indicator • 17, 113,
165, 201
Log file • 353
M
Maintenance • 83, 356, 361
Maintenance tables • 83, 361
Mandatory data • 37, 40
Mandatory divisional
application • 118
O
OAPI • 268, 273
Observations • 243, 253
Online Fee Payment • 158,
194, 215, 250
Online help • 15, 20
Opponents • 225, 231, 236
Opposition • 228, 231
Opposition fee • 250
Oral proceedings • 210, 228,
239
Original document • 84, 146,
150, 191, 249
P
PACE programme • 135
Package • 335
Page orientation • 84
Paper size • 84
Parent application • 268
Party • 231
Password • 59, 63, 67, 68, 70,
355, 357
EPO Online Filing 5.05 – User Guide
Patch • 356, 361
Patent number • 229
Patent of addition • 268
Patent Prosecution Highway •
210
PATENTSCOPE • 289
PatXML • 84, 145, 146, 307,
313
Payments • 81, 158, 194, 215,
250, 324
PCT • 47, 84, 257, 268
PCT application number • 135,
168, 200
PDF • 28, 84, 101, 141, 146,
151, 154, 177, 185, 188,
205, 307
PDF viewer • 28, 86, 101, 156,
192, 205, 253, 282, 302, 325
Persons • 44, 53
PIN code • 63, 92, 97, 99, 100,
102
Plug-in • 14, 339, 357
PMS • 63
PMS gateway • 63
Port • 12, 59, 339, 357
Portable Document Format •
304
Power of attorney • 279, 282,
316
PPH • 210
Pre-conversion archive • 84,
150, 191, 307, 321
Preferences • 56, 60, 354
Preview • 28, 101, 156, 192,
205, 253, 282, 302, 325
Printing • 28, 101, 156, 192
prior application • 298
Priority • 135, 188, 289
Priority claim • 135, 289, 297,
316
Priority documents • 120, 154,
176, 177, 188, 210
Private remark • 325
Privileges • 65, 73, 78
Procedural language • 25, 31,
57, 116, 139, 146, 156
Procedure • 14, 25, 31, 47
Proceedings • 228, 239
Proceedings before the EPO •
176
Production mode • 10, 56, 337,
342
Profiles • 65, 73, 78
Proprietor of the patent • 225,
236
Proxy server • 59, 355, 357
Publications • 247
R
Ready to send status • 37, 100,
334
Page 371 of 372
Ready to sign status • 37, 57,
86, 331
Receipt • 101, 210, 243, 331
Receiving office • 47, 83, 84,
97, 116, 120, 167, 265
Reductions • 81, 113, 161, 165,
196, 218, 322
Re-establishment of rights •
120, 135, 210
Reference • 120
Refunds • 158, 194, 215, 250
regional phase • 167, 215, 221
Regional priority • 135, 289
Registration number • 47, 53
Remark • 325
Rename application • 27
Renaming • 21, 27, 57, 67
Replies • 188, 210
Representative • 128, 169, 203,
231, 236, 271
Request • 115, 116, 120, 167,
239, 265
Request for clarification • 210
Request for examination • 116,
167, 210
Restoration of the right of
priority • 289, 316
Restore • 342
Review procedure • 210
Revocation • 210, 239
Roles • 47
Route • 47
RSS feed • 14
Runtime variable • 62
S
Saving • 26, 28, 262
Search authority • 168
Search reports • 158, 188, 194,
210
Search results • 135, 154, 188,
210, 265
Second communication • 225,
231
Security • 70, 92
Sending • 64, 100, 102, 334
Sent • 37, 101, 109
SEQ file • 151, 185
Sequence listings • 120, 151,
185, 210, 292, 307, 318
Server • 12, 100, 337, 339, 357
Service • 338, 339
Session • 350, 351, 353
Shortcut menu • 20
Signatory • 282, 298
Signature • 57, 61, 86, 89, 91,
92, 97, 99, 282, 298, 324
Signature, digital • 86, 92, 97
Signature, facsimile • 91, 282
Signing • 57, 61, 86, 89, 91,
331
Single file • 141, 310
Smart card • 57, 61, 63, 86, 92,
96, 99, 100
SOAP • 12, 339
Soft certificates • 57, 97
Sorting • 21, 289
Specific authorisation • 154,
188, 243
Specification • 141, 145, 146,
310
SSL • 59, 355
ST.25 (WIPO) • 84, 120, 151,
185, 292
Statement • 316
Statement of grounds • 230,
239
States • 132, 135, 174, 215,
268
Status • 37, 39
Status bar • 17, 50, 113, 165,
201, 225
Status selection bar • 17
Sub-folder • 21, 31, 79
Submission • 228, 253, 331
Subsequent filing • 200, 224
Sub-tab • 113, 165, 201, 225
Successor • 129, 277
Summons • 231
System settings • 60
T
Tab • 40, 113, 165, 201, 225,
257, 338
Technical documents • 141,
145, 146
Templates • 21, 25, 26, 31, 35,
104, 262, 263
Test reports • 176
Thin client • 12
Third party • 236
Third party observations • 210
TIFF file • 84, 91, 145, 150, 304
Time limit for opposition • 229,
239
Title of invention • 28, 116, 229,
265
Toolbar • 17, 20, 113, 165, 201,
225, 257
Tool-tip • 37, 39, 86, 100
Traffic lights • 257
Transfer of entitlement • 296,
297
Transfer of rights • 210
Translations • 116, 139, 146,
154, 177, 188, 243, 249, 316
Transmission to EPO • 64, 100,
102
Trash • 21, 30
TXT file • 151, 185, 318
U
Unblock records • 351
EPO Online Filing 5.05 – User Guide
Update • 14, 35, 356, 359
URL • 83
US priority documents • 154,
188, 210, 316
User • 10, 65, 67, 68, 70
User Account Control
(Windows) • 337
User administration • 60, 65,
337, 363
User authorisation • 10, 12, 65,
71, 73
User name • 10, 65, 67, 68, 70
User preferences • 56
User reference • 25, 27, 35,
107, 108, 110, 112, 200,
224, 260, 331
User session • 339, 342, 351,
353
User support • 9, 15
V
Validation • 40, 156, 192
Validation icons • 40, 113, 165,
201, 225, 257
Validation Log • 289, 325
Validation messages • 40, 56,
257, 289, 325
Variable • 62
Version • 15, 60
View • 17, 21, 28, 40
Voluntary divisional application
• 118
W
WAD • 335
Waiver for communication •
167, 210
warning • 40
Window • 40, 42
Windows 7 • 337, 357
Windows Vista • 337, 357
WIPO • 84, 97, 165, 257
Withdrawals • 210, 239
Witnesses • 225, 231, 236, 239
Workflow • 37, 39, 86, 100, 330
Working directories • 58, 354
X
XML • 63, 84, 104, 107, 108,
110, 112, 145, 146, 307, 313
Z
ZIP file • 104, 107, 110, 150,
151, 185, 191, 321, 335, 363
Page 372 of 372
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