Pages 115-120

XI. FILING OF PATENT APPLICATIONS AND OTHER DOCUMENTS

XI.2 - Electronic filing of documents

Originally published in OJ EPO 2018, A45:

Decision of the President of the European Patent Office dated 9 May 2018 concerning the electronic filing of documents

The President of the European Patent Office,

having regard to Rule 2 EPC and Rule 89bis.1 and 2 PCT,

has decided as follows:

Article 1

Electronic filings

(1) Documents may, in accordance with this decision and without prejudice to other means of filing, be filed electronically using EPO Online Filing (OLF), the EPO case management system (CMS) or the EPO Web-Form Filing service (Web-Form Filing).

(2) Filings using OLF may be made online or on electronic data carriers accepted by the European Patent Office (EPO).1

Article 2

Admissibility of electronic filing

(1) Subject to Articles 3 and 4 of this decision, European patent applications, international (PCT) applications and other documents relating to such applications or to patents deriving from such applications may be filed with the EPO in electronic form.

(2) European patent applications may also be filed in electronic form with the competent national authorities of those contracting states which so permit, using OLF or other services for electronic filing provided they are accepted by the EPO.

Article 3

Limited scope of Web-Form Filing

(1) Authorisations, documents in respect of opposition, limitation and revocation proceedings (Articles 99 to 105c EPC), documents in respect of appeal proceedings (Articles 106 to 112 EPC) or documents in respect of proceedings for review by the Enlarged Board of Appeal of decisions of the boards of appeal (Article 112a EPC) must not be filed using Web-Form Filing.

(2) Documents filed in contravention of paragraph 1 will be deemed not to have been received. The sender, if identifiable, will be notified without delay.

Article 4

Priority documents

(1) Electronically, priority documents may only be filed using OLF, and provided they have been digitally signed by the issuing authority and the signature is accepted by the EPO.2

(2) The CMS and Web-Form Filing must not be used for the electronic filing of priority documents.

(3) Priority documents filed in contravention of paragraphs 1 or 2 will be deemed not to have been received. The sender, if identifiable, will be notified without delay.

Article 5

Sequence listings

Sequence listings may only be filed in accordance with the provisions governing the filing of sequence listings.3

Article 6

Access to electronic filing

(1) The use of OLF with the EPO requires a smart card.

(2) Access to, and use of, the CMS provided on the EPO website requires a smart card registered for CMS.

(3) Access to, and use of, Web-Form Filing provided on the EPO website requires prior registration on the EPO website. If abuse or unauthorised use is suspected, the EPO may cancel or refuse a user's registration.

Article 7

Certificates

(1) Filings with the EPO using OLF require certificates issued or accepted by the EPO.4

(2) The use of the CMS requires certificates issued by the EPO.

Article 8

Specific requirements for OLF

(1) Documents filed using OLF are to be packaged and submitted using the software provided free of charge by the EPO5 and using certificates under Article 7(1) of this decision. Subject to prior acceptance by the EPO, other software6 may also be used.

(2) Documents filed on an electronic data carrier must be accompanied by a paper document identifying the applicant and/or his representative, indicating an address for correspondence and listing the files stored on the data carrier.

Article 9

Document formats

(1) Documents filed using OLF or the CMS must be in XML or PDF, in accordance with the Administrative Instructions under the PCT, Part 7 and Annex F, without prejudice to the possibility to attach documents in their original data format.7

(2) Documents filed using Web-Form Filing must be in PDF, in accordance with the Administrative Instructions under the PCT, Part 7 and Annex F.

Article 10

Signature

(1) Where filed documents require signature, this may take the form of a facsimile signature or a text string signature. When OLF is used, the signature may also take the form of an enhanced electronic signature.

(2) A facsimile signature is a reproduction of the filing person's signature.

(3) A text string signature is a string of characters, preceded and followed by a forward slash (/), selected by the signatory to prove his identity and his intent to sign.

(4) An enhanced electronic signature is an electronic signature issued or accepted by the EPO and confirmed with certificates under Article 7(1) of this decision.

Article 11

Acknowledgment of receipt

(1) Receipt of documents filed online using OLF, the CMS or Web-Form Filing in accordance with this decision is acknowledged electronically by the EPO or the competent national authority of the contracting state concerned (hereinafter "the office") following successful submission. The acknowledgment of receipt is provided

(a) digitally signed by the office within the submission session, for documents filed online using OLF,

(b) digitally signed by the EPO in the CMS, for documents filed using the CMS and

(c) on the website once the files are transferred using Web-Form Filing; an acknowledgment of receipt is also sent by email to the address supplied by the sender, if so requested.

(2) Where such acknowledgment is not successfully transmitted using OLF or the CMS, the office will transmit it by other means without delay, provided it has sufficient information to do so.

(3) The acknowledgment indicates the identity of the office, the date and time of receipt, a reference or application number assigned by the office, a list of the files submitted and, for online filings using OLF or the CMS, a hash value (the message digest). For documents filed using Web-Form Filing, the EPO may, in order to protect the integrity of its IT systems, dispense with the indication of an application number in the acknowledgment of receipt.

(4) Acknowledgment of receipt does not imply the accordance of a date of filing to an application.

(5) Documents filed on electronic data carriers are subject mutatis mutandis to the provisions governing the filing of documents on paper.

Article 12

Illegible or incomplete documents and infected files

(1) Where a filed document is illegible or incomplete, that part of it which is illegible or missing will be deemed not to have been received.

(2) If a filed document is infected with a computer virus or contains other malicious software, it will be deemed to be illegible. The office is not obliged to receive, open or process any document with such a deficiency.

(3) Where a filed document is found to be deficient within the meaning of paragraph 1 or 2, the sender, if identifiable, will be notified without delay.

Article 13

Previous decisions superseded

When this decision enters into force, the decision of the President dated 10 November 2015 concerning the electronic filing of documents (OJ EPO 2015, A91), the decision of the President dated 11 March 2015 concerning the filing of documents using the EPO case management system (OJ EPO 2015, A27) and the decision of the President dated 10 September 2014 concerning the filing of documents using the EPO Web-Form Filing service (OJ EPO 2014, A98) will cease to have effect.

Article 14

Entry into force

This decision enters into force on 1 June 2018.

Done at Munich, 9 May 2018

Benoît BATTISTELLI

President