Settings and quick access to

new online filing (CMS) functions

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 EPO case management system
1. Settings ............................................................................................................... 4
1.1. Which browser can I use? ............................................................................. 4
1.2. Settings for Internet Explorer ......................................................................... 4
1.2.1. New tab for external link ......................................................................... 4
1.2.2. Full document path shown when uploading a file ................................... 6
1.2.3. Browser zoom ......................................................................................... 8
1.2.4. Error message when logging on ............................................................. 9
1.2.5. Lists not displayed correctly .................................................................. 10
1.2.6. TLS & SSL protocols............................................................................. 11
1.2.7. PDF not displayed when signing or reviewing ...................................... 13
1.3. Settings for Mozilla Firefox .......................................................................... 13
1.4. Settings for Google Chrome ........................................................................ 13
1.5. Settings for MAC users................................................................................ 14
1.6. Document limitations ................................................................................... 15
1.6.1. Document upload .................................................................................. 15
1.6.2. Document viewer .................................................................................. 15
1.6.3. Document file names ............................................................................ 15
1.7. Formats allowed for sequence listings ........................................................ 16
2. How to get started ............................................................................................. 17
2.1. Logging on................................................................................................... 17
2.2. Logging off................................................................................................... 17
2.3. Time out ...................................................................................................... 17
2.4. Smart card facts .......................................................................................... 18
2.5. Shortcuts ..................................................................................................... 19
2.6. Language of the request form ..................................................................... 20
2.7. How to create Annex F-compliant documents ............................................. 21
2.8. How to import an address book ................................................................... 24
2.9. How to import an application from a file....................................................... 30
3. Form 1038 ......................................................................................................... 38
3.1. What documents can I file using Form 1038? ............................................. 38
3.2. Why must I enter the name of the applicant or representative? .................. 38
3.3. How to file a PCT Chapter II demand .......................................................... 38
3.4. How to file a notice of opposition ................................................................. 38
4. Procedural topics ............................................................................................... 39
4.1. Why do I sometimes not see a country name on Form PCT/RO/101? ........ 39
4.2. How to access the acknowledgement of receipt.......................................... 39
4.3. How to access the documents submitted .................................................... 40
4.4. How to restrict access to certain tasks ........................................................ 41
4.5. How to register a new user in the CMS ....................................................... 42

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New online filing (CMS): frequently asked questions and
known issues
The conditions of use for new online filing (CMS) are available at the following
link: www.epo.org/law-practice/legal-texts/official-journal/president-
notices/archive/cms.html.

The French and German versions are also available on the EPO website.

Please note that currently Internet Explorer version 9 and higher, Mozilla Firefox 33
and higher and Google Chrome 38 and higher are supported on Windows operating
systems, whilst only Safari 7 and higher is supported on Mac operating systems.
Issues and findings regarding other browsers may be noted, but only as an
indication of work to be done for future versions.

This document is split into four main sections:

1. Settings users may need to adjust for best performance of new online filing
(CMS)
2. A "how-to" providing brief instructions on the main functions
3. Brief instructions for filing a Form 1038
4. Procedural topics with additional information on legal formalities.

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1. SETTINGS
1.1. WHICH BROWSER CAN I USE?

The CMS is compatible with most browsers, but only the following browsers are
supported:
• Internet Explorer 9 and higher (Windows)
• Mozilla Firefox 33 and higher (Windows)
• Google Chrome 38 and higher (Windows)
• Safari 7 and higher (MacOS)
For best performance, it may be necessary to adjust certain settings. These settings
may not be accessible to all users (i.e. users require admin rights on their PC).

1.2. SETTINGS FOR INTERNET EXPLORER

1.2.1. New tab for external link

Ensure that a new tab opens for an external link.

Go to Tools → Internet Options → General tab → Tabs.

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Select A new tab in the current window under Open links from other programs
in: to ensure a new tab opens when you click on an external link.

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1.2.2. Full document path shown when uploading a file

Ensure the full document path is shown when you upload a file.
Go to Tools → Internet Options → Security tab → select Internet icon → Custom
level... button.

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Select Enable under Include local directory path when uploading files to a
server to ensure the document path is shown when you upload a file.

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1.2.3. Browser zoom

We recommend keeping the browser zoom level at 100%. The current zoom level is
indicated in the bottom right corner of the browser page.
To change the zoom level, open the View menu and go to Zoom, then select 100%
from the list as displayed below.

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1.2.4. Error message when logging on

An error message that appears when you log on may be due to security settings and
can sometimes be resolved by adding the gateway to your list of trusted sites.
Go to Tools → Internet Options → Security tab and select Trusted sites, then
click on the Sites button.

If the site is not listed, type "https://epogateway.epo.org" and click on Add. Then
close the dialogue windows.

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1.2.5. Lists not displayed correctly

You may find that some lists in the CMS do not display correctly.
To solve this, go to Tools → Internet Options → Advanced tab and select Enable
native XMLHTTP support under Security.

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1.2.6. TLS & SSL protocols

You may receive the following error message when trying to access the CMS web
page:

The same message may appear when the smart card connection is not working.
This can occur when the Gemalto software is not installed correctly and/or the smart
card is not inserted in the reader.

When you see this message, you should verify the settings for SSL and TLS
protocols, as shown in the screenshot below.

If you are not prompted to enter your smart card PIN when trying to connect to the
CMS, then check that the Gemalto software is installed correctly.

To access the CMS, the following settings need to be updated.

Go to Internet Options and select the Advanced tab.
Check that the options on your browser match the following screen:

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12
1.2.7. PDF not displayed when signing or reviewing

There is a known issue with Windows 64-bit systems running Internet Explorer 11.
The Adobe Reader plugin does not display content in this browser version.
We recommend using a 32-bit Internet Explorer version, or use the download link to
review PDF files.

1.3. SETTINGS FOR MOZILLA FIREFOX

Before you can use Firefox with a smart card you must add the smart card certificate
in the settings to successfully access the CMS.
See here for instructions.

1.4. SETTINGS FOR GOOGLE CHROME

Chrome users may experience problems logging on to the system. Should the
browser stop responding when you access the system, try the following:
1. Close the browser and restart it
2. Click the icon with the three horizontal lines at the top-right of the window and
select Settings. Click Show advanced settings (near the bottom of the page)

3. Scroll down and clear the check box Use hardware acceleration when
available

4. Restart Chrome and log on to the system

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1.5. SETTINGS FOR MAC USERS

The CMS has been successfully tested using the following:

• Hardware:
o Mac Book Pro (Mac Book Pro 6.2)
o Processor: 2.4 GHz Intel Core i5
o Memory: 4 GB, 1 067 MHz
o External Gemplus GemPCTwin smart card reader
o EPO smart card
• Software:
o Operating system: OS X 10.9.2
o Gemalto Classic Client 6.3.4 for Mac OS X Mavericks 002
o Adobe reader available

For other MAC OS versions, users are requested to contact the EPO Customer
Desk.

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1.6. DOCUMENT LIMITATIONS

1.6.1. Document upload

• The maximum file size for uploads is 50 megabytes (MB) per file.
• Most documents must be in PDF format.
• Documents in XML format can be used to file EPO Form 1001 and Form
PCT/RO/101.
• The pre-conversion archive and import file should be ZIP files.
• All documents should adhere to the WIPO Annex F requirements.
• Special characters are now allowed to be used in the file name.

1.6.2. Document viewer

• After a document is uploaded, the database converts it into an image in TIF

format. During this conversion, it is not possible to view the document. You
are therefore advised to wait a few minutes before viewing an uploaded
document.

1.6.3. Document file names

• The CMS has reserved some file names that cannot be used by CMS users
for uploaded documents. The file names below are already used by the CMS
to generate specific files that are required when submitting applications to the
EPO systems.

• The list per function is as follows:

o All functions:
 receipt.zip
 receipt.pdf
o Form PCT/RO/101:
 fees.pdf
 pct101.pdf
 validlog.pdf
 micro.pdf
o Form 1001 & 1200:
 feesheetint.pdf
o Form 1001:
 ep-request.pdf
 f1002-n.pdf (n= any combination of numbers 0-9)
 epr193-n.pdf (n= any combination of numbers 0-9)

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  epr201-n.pdf (n= any combination of numbers 0-9)
o Form 1200:
 epf1200.pdf
o Form 1038:
 ep-cms-sfd-request.pdf
o Import function:
 imported-archive.zip
 import-error-report.pdf

1.7. FORMATS ALLOWED FOR SEQUENCE LISTINGS

The formats allowed for uploading sequence listings are text (.txt), (.seq), (.app) and
image (.pdf).

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2. HOW TO GET STARTED
2.1. LOGGING ON

Unlike with OLF client software, the smart card must be inserted in the reader before
you click on the CMS link. The smart card must remain inserted at all times when
using the CMS.

Only one CMS session should be open at a time. Starting multiple CMS sessions in
different browser tabs is NOT recommended.

2.2. LOGGING OFF

Security measures are in place that require you to always log off when you finish
using the CMS.
You can log off with the Log out button under your name.

When using Internet Explorer, you can log off by closing the entire browser page and
not only the tab.

2.3. TIME OUT

When the CMS session times out, the following screen appears.
Click on the EPO logo to reactivate your session.
If that does not work, clear your browser cookies, close the entire browser window
and then reopen it.

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2.4. SMART CARD FACTS

Only activated smart cards can be registered to use the CMS.

The smart card must remain inserted in the reader at all times when using the CMS.

A smart card will work only if the Gemalto software is up to date.

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2.5. SHORTCUTS

To show the different shortcuts, press the H key on your keyboard. To stop showing
them, press the H key again.

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2.6. LANGUAGE OF THE REQUEST FORM

When accessed with the Review or Export task the request form is displayed in the
language selected in the CMS. You can change the language by clicking on the
language in the top right corner and via the Preferences screen.
When you change the CMS language, the language of the request form changes
accordingly.

For Forms EPO 1001 and Euro-PCT 1200, the language of the form can be set in
the Preferences menu.

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2.7. HOW TO CREATE ANNEX F-COMPLIANT DOCUMENTS

The EPO case management system only allows you to upload documents that
comply with the WIPO Annex F regulations described below:

Annex F restrictions as mentioned in the WIPO document (http://www.wipo.int

Annex F: Standard for Filing and Processing in Electronic Form)

All documents in PDF format must meet the following requirements:

(a) Adobe Portable Document Format Version 1.4 compatible
(b) non-compressed text to facilitate searching
(c) unencrypted text
(d) no embedded OLE objects
(e) all fonts must be embedded and licensed for distribution.

The following requirements are mandatory, adding or replacing the above:

• A4 (210mm x 297mm) portrait or landscape; a tolerance of +5% is allowed 1
• PDF 1.1 or higher
• All fonts must be embedded, except Base14 fonts, the standard fonts
available to Acrobat reader and the like. Here is the list:
o Times (v3) or Times New Roman PS MT (v4.x)
o Helvetica (v3) or Arial MT (v4.x)
o Courier
o Symbol
o Zapf Dingbats

The new version 5.0.0.3 of the Amyuni PDF Converter has now been released into
production. This version is password-protected. To receive a password
please contact us.

Features checked when attaching a PDF in an EP procedure are:

• A4 (210mm x 297mm) portrait or landscape; a tolerance of +5% is allowed 2

• PDF 1.1 or higher
• All fonts are embedded, except Base14 fonts
• PDF not digitally signed (except for US certified priority documents)

If you are using another version of Amyuni, please ensure that the following settings
are defined:

1
Tolerance: 312mm (A4 + 5%) x 227 mm (letter + 5%)
2
Tolerance: 312mm (A4 + 5%) x 227 mm (letter + 5%)

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22
After you create the PDF document, you can check the page size under Document
Properties in Adobe Acrobat. If it is not 210 x 297, please verify the settings in
Amyuni PDF Converter.

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2.8. HOW TO IMPORT AN ADDRESS BOOK

1. First ensure that the file to be imported is in CSV format.

This option is only available to CMS users with the Address book management user
right.

Preparing the address-book import file for import

The CSV file must meet the following technical standards:
• It should be a text file in ISO8859-1 format
• Fields must be delimited by semicolons
• Records must be delimited by a newline character
• Attributes that contain newline characters must be enclosed within double
quotes.

An Excel file saved as a CSV file with the following system settings will automatically
meet the above technical standards:

• First close Excel.

• For Windows, select Control Panel > All Control Panel Items > Region and
Language. In the window Region and Language, click Additional settings
to go to the Customize Format window. In the Numbers tab enter a
semicolon (;) in the List separator field > Click on OK.

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 Setting the list separator for Windows

• Mac OS users with English as their operating system language may have to
change their decimal number separator. Go to System Preferences >
Language and Region > click on Advanced. Set the Decimal number
separator to a comma (,) > click on OK.

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Setting the number separator for the English version of Mac OS

2. Select the Import/Export from the tool bar and then Import address book.

3. Click on Browse..., select the CSV file and then click on Next.

4. You are then presented with a list of fields. The system proposes the values to be
entered for each field. Please check these values against your file.

In some cases, the system cannot find an appropriate value to map to a field. In
these cases, you are asked to choose a value. It is important to select an
appropriate value from the drop-down list provided. Not doing so for one or more
fields will cause the import to fail.

See the example below.

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27
5. After the next step, you should receive confirmation, indicating if any duplicates
were found.

6. You are then informed if any records failed. These can be viewed in a list and
edited to complete the missing information.

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7. If you want to remove any records, click on the Address book tab again. Simply
select the records you want to remove and click on Remove.

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2.9. HOW TO IMPORT AN APPLICATION FROM A FILE

The CMS allows you to import applications from a ZIP file. You can use this option to
import both regular and demo applications. It is available only for CMS users having
the right to draft a new application for the procedure in question.

(i) Supported forms

The import function can currently import the following forms:
• Form PCT/RO/101
• EPO Form 1001
• Euro-PCT Form 1200

The CMS automatically detects the type of procedure in question.

(ii) Preparing for import

(1) Requirements for importing ZIP files
A ZIP file has to meet the same requirements in the CMS as it does in the EPO's
Online Filing software. The following generic requirements apply to import ZIP files:
• it should be a valid ZIP (archive) file
• it should contain
• XML files containing the data that is otherwise entered manually,
usually accompanied by relevant documents
• an XML file for a form supported by the CMS
• all of the required XML files in section (2) XML files in the ZIP file
• an XML file conforming to a package-data DTD

The user importing the ZIP file must be entitled to perform the procedure in question,
i.e. have the right to access the imported form.

Each XML file references a DTD file and must meet the validation requirements laid
down in that DTD file (see the EPO website: http://www.epo.org/applying/online-
services/online-filing/documentation.html, Technical information).

(2) XML files in the ZIP file

Each form requires a different set of XML files (see lists below). The PCT procedure
also accepts certain optional XML files. If one or more of the optional files is present
but fails the DTD validation, it will be ignored during import. The names of the XML
files do not matter, as long as the DTD file referenced from the XML file matches a
DTD file for the relevant procedure.

• Form PCT/RO/101
o package-data (required)
o application-body (required)

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 o request (required)
o fee-sheet (required)
o declaration (optional)
o indication-bio-deposit (optional)
o validation-log (optional)

• EPO Form 1001

o package-data (required)
o application-body (required)
o ep-request (required)

• Euro-PCT Form 1200

o package-data (required)
o application-body (required)
o ep-euro-pct (required)

(iii) Importing from a file

When you are sure that your archive file meets all the requirements, you can import
it into the CMS:
→ To import a regular application, select New application from the tool bar and
then Import from file.

Import from file task

- OR –

To import a demo application, go to the Applications tab and then the My demo
applications sub-tab, click on the task Demo import from file under DEMO new
application.

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 → A dialogue window appears. Click on Browse… to add the ZIP file. Click on
Next after selecting the ZIP file that you want to import.
→ When the ZIP file passes the first stage of validations (see the section File
validations), a window appears showing the name of the detected procedure
of the form. The reference, title of invention and name of the first applicant will
only be shown if these have been supplied in the XML file.
If an application with the same reference is already present in the CMS,
another message appears. However, you can continue to import the file.

Message displayed when an existing application with the same reference is found
during import

→ After verifying the details, click Next to import the ZIP file. Please be aware
that this might take some time.
→ After import, the CMS shows the imported application.
→ When applicable, review the import error report. You will find it in the
Documents tab of the imported application (see the section Second stage:
data validations and import error report below for details).
→ When applicable, resolve the errors indicated by the red notifications (see
section (iv)(3) Third stage). In the Validation messages box of the imported
application, red notifications are shown. Click on the icon (see Example of
a validation message about an import error) to resolve the error and to show
the screen where the error is detected.

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Example of a validation message about an import error

For example, when details are missing in mandatory fields, you can show the
relevant error messages by clicking on Next in the screen where the error is
detected.

Clicking on Next to show import errors

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 (iv) File validations
The CMS checks the import file and data to ensure valid data is imported. These
validations are executed in three stages:

(1) First stage

The first stage is performed after clicking on Next in the screen where you attach the
ZIP file you want to import and reject the ZIP file if the validations fail as described in
the section Preparing for import. In case any of these validations fail, the CMS will
show an error message and provide the possibility to upload a new file.

(2) Second stage: data validations and import error report

The second stage of validations is performed after clicking on Next in the
confirmation window. These validations will not block import. At this stage the CMS
will try to import all data specified in the file. However, certain values cannot be
imported for technical reasons, e.g. text instead of figures in a date field or an option
in the patent management system (PMS) that is not recognised by the CMS. All data
that is not imported (ignored) at this stage will be indicated in the import error report.
This is a PDF document that is automatically generated by the CMS. The import
error report can be viewed in the Documents tab (for further details, see the section
Viewing the import error report).

Note: The DTD specifications allow more data to be included in the file than the CMS
recognises. Please review the Online filing documentation for the appropriate data
format (www.epo.org/applying/online-services/online-filing/documentation.html,
Technical information).

Viewing the import error report

→ In the imported application, go to the Documents tab.
→ Under Other documents, click on the icon to expand the System-
generated section.
→ In the expanded System-generated view, click on the document type Report
on import into CMS to see its details.
→ The Report on import into CMS expands and its details are shown. Click on
Download to download the import error report.
The error report also gives an overview of all documents present in the ZIP
file and whether they were imported. An error report is not generated if the
CMS does not detect errors in this second stage of validations.

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Download link for the import error report

(3) Third stage

The final stage of validations results in red notifications when errors are detected.
These errors should be resolved manually in the imported application.

(v) Exceptions for imported forms

(1) EPO Form 1001 and Euro-PCT Form 1200: fee selection
When applicable for the payment method specified, the CMS will import the fee
selection for EPO Form 1001 and Euro-PCT Form 1200.

Fee amounts will always be recalculated based on the data entered for the
application and the latest fee schedule. But when a fee selection is imported, it will
be loaded in the application when the Pay fees task is executed for the first time.
The imported fee selection will then overwrite the default selection. However, any
details specified in the Payment screen that leads to changes in the fee selection,
will, in turn, overwrite the imported selection.

Example: Changes in the selection of the Additional copies or Late payment

check boxes in the payment details screen of Euro-PCT Form 1200 (see Payment
details in Euro-PCT Form 1200 that influence the fee selection) will lead to changes
in the fee selection.

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Payment details in Euro-PCT Form 1200 that influence the fee selection

The import error report will automatically be updated if (part of) the imported fee
selection is ignored as a result of aforementioned changes in the Payment screen.
The imported fee selections are only ignored if they are not relevant or the (updated)
payment method does not allow these fees to be selected.

If you rely on the imported fee selection, please review the import error report after
executing the Pay fees task to check whether any fees have been ignored.

(2) Form PCT/RO/101: documents related to biological material

Indications of deposits of biological material can be specified in the Biological
material tab. Documents can be added in respect of each indication of deposit of
biological material. Unfortunately, the PCT data format does not allow you to specify
how a particular document relates to a deposit of biological material. Therefore,
biological material is imported as follows:

• The check box A copy of the receipt(s) of deposit will be filed later is never
checked during import. Where relevant, this check box should always be
ticked manually after import. A red validation message will be shown to
remind you of this.

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The check box A copy of the receipt(s) of deposit will be filed later

• If an indication of deposit is imported, all provided documents related to

biological material (Copy of the receipt(s) of deposit issued by the
depository institution and Separate furnishing of indications) will
automatically be linked to this one imported indication.

• If more than one indication of deposit is imported, all documents related to

biological material will also be imported even though they cannot be linked to
a specific indication. This means that a document should be removed
manually when the relevant indication is removed.

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3. FORM 1038
3.1. WHAT DOCUMENTS CAN I FILE USING FORM 1038?

Using Form 1038 you can file any document in any of the PCT procedures and any
of the EP procedures. In addition, you can pay fees for each stage of the procedure
or use the Remarks field to communicate a short note to the EPO. These notes are
reproduced on Form 1038 and are accepted in place of a separate letter.

3.2. WHY MUST I ENTER THE NAME OF THE APPLICANT OR

REPRESENTATIVE?

Unlike the existing EPO Online Filing software, when filing a Form 1038 you are
required to fill out the name and address of the applicant or agent/representative.
In addition, if you are a representative or agent, you are asked to give the name of
the represented party. This is a check for the EPO in case the application number
contains a mistake, and makes it easier for us to identify the application to which the
document belongs.

These measures have been taken to correctly identify the person submitting the
documents, and thereby increase legal certainty.

3.3. HOW TO FILE A PCT CHAPTER II DEMAND

You can use the CMS to file a demand for international preliminary examination.

To file such demand in accordance with PCT Rule 53, you should download and
complete the PCT demand form
at www.wipo.int/export/sites/www/pct/en/forms/demand/ed_demand.pdf and upload
it in Form 1038 for the PCT procedure and the capacity International Preliminary
Examination.

3.4. HOW TO FILE A NOTICE OF OPPOSITION

You can use the CMS to file a notice of opposition.

To file such a document, you should download and complete Form 2300 and upload
it in Form 1038 for the EP procedure and procedural phase Opposition.

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4. PROCEDURAL TOPICS
4.1. WHY DO I SOMETIMES NOT SEE A COUNTRY NAME ON FORM
PCT/RO/101?

If you select one of the nine countries listed below, the relevant ISO country code,
not the country name, is displayed on the request form.
o South Sudan (SS)
o Timor-Leste (TL)
o Aland Islands (AX)
o Saint Barthélemy (BL)
o Saint Martin (MF)
o Isle of Man (IM)
o Guernsey (GG)
o Jersey (KE)
o American Samoa (AS)

4.2. HOW TO ACCESS THE ACKNOWLEDGEMENT OF RECEIPT

When you submit a form, a progress bar appears at the top of the screen to indicate
the status of the action.

When the action is complete, the application number appears (if it has not already
been entered).

By clicking on the underlined application number, you can open or save the
acknowledgement of receipt.

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4.3. HOW TO ACCESS THE DOCUMENTS SUBMITTED

If you have submitted a form, you will find all the documents you submitted in an
export file under System-generated.

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This ZIP file lets you open or save some/all of the documents submitted.

4.4. HOW TO RESTRICT ACCESS TO CERTAIN TASKS

If you have organisation administration rights you can assign or restrict access to
both procedures and tasks for each person in your organisation.

You can also restrict access to the address book management function in your
organisation. This is strongly recommended as a means of maintaining the integrity
of your address book.

Please note that additional organisation administration roles can be assigned, but
we recommend restricting these rights to a maximum of three people.

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4.5. How to register A NEW USER IN THE CMS

A user with organisation administration rights can register another person within
the same organisation in the CMS, provided this person has an activated smart card.

In the Account management tab, the organisation administrator can see an overview
of all users registered in the same organisation and perform the task Register new
user to my organisation.

The organisation administrator must enter the name and smart card number. The
name consists of the full first name as given for smart card registration and
the last name (e.g. John Doe).

42
If the details are correct, the organisation administrator will be prompted to confirm
that he/she wants to add the user as displayed below.

After clicking on Yes the organisation administrator must select the rights for the new
user.

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Important:

1. The following warning is displayed if the smart card details entered are not
identical to those displayed on the actual smart card:

44
2. The following warning is displayed if the new user already belongs to another
organisation:

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