Part A
Guidelines for Formalities Examination

Contents

Chapter I – Introduction

1.Overview

2.Responsibility for formalities examination

3.Purpose of Part A

4.Other parts relating to formalities

Chapter II – Filing of applications and examination on filing

1.Where and how applications may be filed

1.1Filing of applications by delivery by hand or by postal services

1.11.2 Filing of applications by means of electronic communication

1.2.1Filing of applications by fax

1.1.11.2.2 Filing of applications in electronic form

1.1.21.2.1 Filing of applications by fax

1.21.1 Filing of applications by delivery by hand or by postal services

1.3Filing of applications by other means

1.4Subsequent filing of documents

1.5Debit orders for deposit accounts held with the EPO

1.6Forwarding of applications

1.7Application numbering systems

1.7.1Applications filed before 1 January 2002

1.7.2Applications filed on or after 1 January 2002

2.Persons entitled to file an application

3.Procedure on filing

3.1Receipt; confirmation

3.2Filing with a competent national authority

4.Examination on filing

4.1Minimum requirements for according a date of filing

4.1.1Indication that a European patent is sought

4.1.2Information concerning the applicant

4.1.3Description

4.1.3.1Reference to a previously filed application

4.1.4Deficiencies

4.1.5Date of filing

5.Late filing of missing drawings or missing parts of the description

5.1Late filing of missing drawings or missing parts of the description – on invitation

5.2Late filing of missing drawings or missing parts of the description – without invitation

5.3The filing date changes

5.4Missing parts of the description or missing drawings based on the priority application, no change in filing date

5.4.1Late-filed missing parts when priority is claimed

5.4.2The missing parts of the description or missing drawings are completely contained in the priority application

5.4.3Copy of the priority application

5.4.4Translation of the priority application

5.5Withdrawal of late-filed missing drawings or missing parts of the description

5.6Additional fee for pages

6.Correction of erroneously filed application documents or parts

6.1Correction of erroneously filed application documents or parts – on invitation

6.2Correction of erroneously filed application documents or parts – without invitation

6.3The filing date changes

6.4Correct application documents based on priority application, no change in the filing date

6.4.1Later-filed correct application documents or parts when priority is claimed

6.4.2Copy of the priority application

6.4.3Translation of the priority application

6.5Withdrawal of correct application documents or parts

6.6Same-day corrections

6.7Correct application documents or parts filed after the search has started

6.8Additional fee for pages

6.9Claims fee

Chapter III – Examination of formal requirements

1.General

1.1Formal requirements

1.2Further checks

2.Representation

2.1Requirements

2.2Non-compliance

3.Physical requirements

3.1General remarks

3.2Documents making up the application, replacement documents, translations

3.2.1Physical requirements of applications filed by reference to a previously filed application

3.2.2Physical requirements of late-filed application documents or correct application documents or parts

3.3Other documents

4.Request for grant

4.1General remarks

4.2Examination of the request for grant form

4.2.1Information on the applicant

4.2.2Signature

4.2.3Further requirements laid down by Rule 41(2)

5.Designation of inventor

5.1General remarks

5.2Waiver of right to be mentioned as inventor

5.3Designation filed in a separate document

5.4Deficiencies

5.5Incorrect designation

6.Claim to priority (see also F‑VI)

6.1General remarks

6.2Applications giving rise to a right of priority

6.3Multiple priorities

6.4Examination of the priority document

6.5Declaration of priority

6.5.1Filing a new priority claim

6.5.2Correcting an existing priority claim

6.5.3Deficiencies in the priority claim and loss of the priority right

6.6Priority period

6.7Copy of the previous application (priority document)

6.8Translation of the previous application

6.8.1Invitation to file the translation before examination

6.8.2Invitation to file the translation in examination/opposition

6.8.3Loss of rights and legal remedies

6.8.4Translation of previous application already filed

6.8.5Voluntary filing of the translation of the previous application

6.8.6Declaration replacing the translation

6.9Non-entitlement to right to priority

6.10Loss of right to priority

6.11Notification

6.12Copy of the search results for the priority or priorities

7.Title of the invention

7.1Requirements

7.2Responsibility

8.Prohibited matter

8.1Morality or "ordre public"

8.2Disparaging statements

9.Claims fee

10.Abstract

10.1General remark

10.2Content of the abstract

10.3Figure accompanying the abstract

11.Designation of contracting states

11.1General remarks

11.2European patent applications filed on or after 1 April 2009

11.2.1Designation fee; time limits

11.2.2Payment of designation fee

11.2.3Consequences of non-payment of the designation fee

11.2.4Withdrawal of designation

11.2.5Euro-PCT applications entering the European phase

11.3European patent applications filed before 1 April 2009

11.3.1Designation fee; time limits

11.3.2Consequences of non-payment of designation fees

11.3.3Amount paid insufficient

11.3.4Application deemed withdrawn

11.3.5Request for grant form

11.3.6Indication of the contracting states

11.3.7Amount payable

11.3.8Withdrawal of designation

11.3.9Euro-PCT applications entering the European phase before 1 April 2009

12.Extension and validation of European patent applications and patents to/in states not party to the EPC

12.1General remarks

12.2Time limit for payment of extension and validation fees

12.3Withdrawal of the extension or validation request

12.4Extension and validation deemed requested

12.5National register

13.Filing and search fees

13.1Payment of fees

13.2Additional fee (if application documents comprise more than 35 pages)

13.3Additional fee for divisional applications

14.Translation of the application

15.Late filing of claims

16.Correction of deficiencies

16.1Procedure for formalities officers

16.2Period allowed for remedying deficiencies

Chapter IV – Special provisions

1.European divisional applications (see also C‑IX, 1)

1.1General remarks

1.1.1Pendency of the earlier application

1.1.2Sequences of divisional applications

1.1.3Persons entitled to file a divisional application

1.2Date of filing of a divisional application; claiming priority

1.2.1Date of filing

1.2.2Priority claim of a divisional application

1.3Filing a divisional application

1.3.1Where and how to file a divisional application

1.3.2Request for grant

1.3.3Language requirements

1.3.4Designation of contracting states

1.3.5Extension and validation states

1.4Fees

1.4.1Filing, search and designation fee(s)

1.4.1.1Additional fee for divisional applications of second or subsequent generations

1.4.2Claims fees

1.4.3Renewal fees

1.5Designation of the inventor

1.6Authorisations

1.7Other formalities examination

1.8Search, publication and request for examination of divisional applications

2.Art. 61 applications and stay of proceedings under Rule 14

2.1General

2.2Stay of proceedings for grant

2.2.1Responsible department

2.2.2Date of the stay of proceedings

2.2.3Legal nature and effects of the stay

2.2.4Interruption of time limits

2.2.5Resumption of the proceedings for grant

2.2.5.1Resumption after final decision in entitlement proceedings

2.2.5.2Resumption regardless of the stage of entitlement proceedings

2.3Limitation of the option to withdraw the European patent application

2.4Prosecution of the application by a third party

2.5Filing a new application

2.6Refusal of the earlier application

2.7Partial transfer of right by virtue of a final decision

3.Display at an exhibition

3.1Certificate of exhibition; identification of invention

3.2Defects in the certificate or the identification

4.Applications relating to biological material

4.1Biological material; deposit of such

4.1.1New deposit of biological material

4.1.2Application filed by reference to a previously filed application

4.2Missing information; notification

4.3Availability of deposited biological material to expert only

4.4Requests for samples of biological material

5.Applications relating to nucleotide and amino acid sequences

5.1Sequence information filed under Rule 56

5.2Sequence information filed under Rule 56a

5.3Sequence listings of an application filed by reference to a previously filed application

5.4Sequence listings of a divisional application

6.Conversion into a national application

Chapter V – Communications concerning formal deficiencies; amendment of application; correction of errors

1.Communications concerning formal deficiencies

2.Amendment of application

2.1Filing of amendments

2.2Examination of amendments as to formalities

3.Correction of errors in documents filed with the EPO

Chapter VI – Publication of application; request for examination and transmission of the dossier to examining division

1.Publication of application

1.1Date of publication

1.2No publication; preventing publication

1.3Content of the publication

1.4Publication in electronic form only

1.5Separate publication of the European search report

2.Request for examination and transmission of the dossier to the examining division

2.1Communication

2.2Time limit for filing the request for examination

2.3Legal remedy

2.4Transmission of the dossier to the examining division

2.5Refund of examination fee

2.6Reduction in examination fee

3.Response to the search opinion

Chapter VII – Languages

1.Admissible languages on filing

1.1General

1.2Filing by reference

1.3European divisional applications; Art. 61 applications

1.4Invitation to file the translation

2.Language of the proceedings

3.Derogations from the language of the proceedings in written proceedings

3.1Parties' written submissions

3.2Admissible non‑EPO languages

3.3Priority document

3.4Documents filed as evidence

3.5Third-party observations

4.Derogations from the language of the proceedings in oral proceedings

5.Documents filed in the wrong language

6.Languages of publication

7.Correction and certification of the translation

8.Authentic text of the application or patent

Chapter VIII – Common provisions

1.Representation

1.1General principles

1.2Representation by a professional representative; list of professional representatives; associations

1.3Representation by an employee

1.4Common representative

1.5Representation by a legal practitioner

1.6Signed authorisation

1.7General authorisation

1.8Invitation to file authorisation and legal consequence in case of non-compliance

2.Form of documents

2.1Documents making up the European patent application

2.2Replacement documents and translations

2.3Other documents

2.4Number of copies

2.5Filing of subsequent documents

3.Signature of documents

3.1Documents filed after filing the European patent application

3.2Documents forming part of the European patent application

3.3Form of signature

3.4Joint applicants

Chapter IX – Drawings

1.Graphic forms of presentation considered as drawings

1.1Technical drawings

1.2Photographs

2.Representation of drawings

2.1Grouping of drawings

2.2Reproducibility of drawings

2.3Figure accompanying the abstract

3.Conditions if drawings are filed on paper regarding the paper used

4.Presentation of the sheets of drawings

4.1Usable surface area of sheets

4.2Numbering of sheets of drawings

5.General layout of drawings

5.1Page‑setting

5.2Numbering of figures

5.3Whole figure

6.Prohibited matter

7.Executing of drawings

7.1Drawings of lines and strokes

7.2Shading

7.3Cross-sections

7.3.1Sectional diagrams

7.3.2Hatching

7.4Scale of drawings

7.5Numbers, letters and reference signs

7.5.1Leading lines

7.5.2Arrows

7.5.3Height of the numbers and letters in the drawings

7.5.4Consistent use of reference signs in description, claims and drawings

7.5.5Consistent use of reference signs in drawings

7.6Variations in proportions

8.Text matter on drawings

9.Conventional symbols

10.Amendments to drawings

11.Graphic forms of presentation not considered as drawings

11.1Chemical and mathematical formulae

11.2Tables

11.2.1Tables in the description

11.2.2Tables in the claims

Chapter X – Fees

1.General

2.Methods of payment

3.Currencies

4.Date considered as date on which payment is made

4.1Payment or transfer to a bank account held by the European Patent Organisation

4.2Deposit accounts with the EPO

4.2.1General remarks

4.2.2Payments to replenish a deposit account

4.2.3Debiting the deposit account

4.2.4Date of receipt of the debit order; insufficient funds

4.3Automatic debiting procedure

4.4Payment by credit card

5.Due date for fees

5.1General

5.1.1Due date

5.1.2Amount of the fee

5.2Due date for specific fees

5.2.1Filing fee and search fee

5.2.2Examination fee and designation fee

5.2.3Fee for grant and publishing

5.2.4Renewal fees

5.2.5Claims fees

5.2.6Fees for limitation/revocation, opposition, appeal, petition for review

5.2.7Fees payable for procedural and other requests

6.Payment in due time

6.1Basic principle

6.2Late payment of fees – period for payment considered observed

6.2.1Fees paid by bank transfer – application of Art. 7(3) and (4) RFees

6.2.2Safety provision for late replenishment of deposit accounts

6.2.3Debit orders filed with a competent national authority

6.2.4Amount of fee payable

6.2.5Noting of loss of rights

7.Purpose of payment

7.1General

7.1.1Conditions for valid payment

7.1.2Purpose of payment

7.2Indication of the purpose of the payment in the case of designation fees

7.3Indication of the purpose of payment in the case of claims fees

7.3.1Claims fees payable on filing the European patent application

7.3.2Claims fees payable before the grant of the European patent

8.No deferred payment of fees, no legal aid, no discretion

9.Reduction of fees

9.1General

9.2Reduction under the language arrangements

9.2.1Conditions

9.2.2Reduction of the filing fee

9.2.3Reduction of the examination fee

9.3Special reductions

9.3.1Reduction of the search fee for a supplementary European search

9.3.2Reduction of the examination fee where the international preliminary examination report is drawn up by the EPO

10.Refund of fees

10.1General remarks

10.1.1Fee payments lacking a legal basis

10.1.2Late payments

10.1.3Insignificant amounts

10.2Special refunds

10.2.1Refund of the search fee

10.2.2Refund of the further search fee

10.2.3Refund of the examination fee

10.2.4Refund under Rule 37(2)

10.2.5Refund of the fee for grant and publishing

10.2.6Refund of the appeal fee

10.3Method of refund

10.3.1Refunds to a deposit account

10.3.2Refunds to a bank account

10.4Reallocation instead of refund

11.Crediting of fees under Rule 71a(5)

11.1Crediting of the fee for grant and publishing

11.2Crediting of claims fees

11.3Separate crediting of the fee for grant and publishing and claims fees

11.4Further processing fee and crediting of fees

Chapter XI – Inspection of files; communication of information contained in files; consultation of the European Patent Register; issue of certified copies

1.General

2.Inspection of files

2.1Documents open to file inspection

2.2Conducting file inspections

2.3Restrictions to file inspection

2.4Confidentiality of the request

2.5File inspection before publication of the application

2.6Publication of bibliographic data before publication of the application

3.Communication of information contained in the files

4.Consultation of the European Patent Register

5.Issue of certified copies

5.1Certified copies of documents from the files or of other documents

5.2Priority documents issued by the EPO