Form EP1038 – Subsequently filed documents

As the data contained in form EP1038 is different depending on the procedural phase in which it is intended to be filed, OLF2.0 handles four different variants of said form that will henceforth be referred to in this chapter using the following abbreviations:

• EP1038 FSE: Refers to the form variant for the Filing/Search/Examination phases.
• EP1038 OPPO: Refers to the form variant for the Opposition phase.
• EP1038 LR: Refers to the form variant for the Limitation/Revocation phases.
• EP1038 APPEAL: Refers to the form variant for the Appeal phase.

XML files for an EP1038 application

The following two XML files are required for an EP1038 application to be imported. Note that unlike in EP1001 and EP1200, there is no application-body.xml.

File name	DTD	Description
package-data.xml	package-data.dtd	References attached documents including ep-sfd-request.xml file.
ep-sfd-request.xml	ep-cms-sfd-request-v1-9.dtd (FSE) ep-cms-sfd-request-v1-7.dtd (OPPO, LR and APPEAL)	Application data as entered in Form EP1038, references attached documents.

The XML structure of package-data.xml is the same as for EP1001 applications - see section: Form EP1001 - References from XML files to other files

More information on the XML structure of the ep-sfd-request.xml file can be found below and in subsequent sections in this chapter.

Basic structure of ep-sfd-request.xml

The ep-sfd-request.xml file contains the application data in Form EP1038. Its root element is <ep-cms-sfd-request>, which contains the following attributes:

XML Attribute	Attribute Description	Example/fixed value
lang	Procedural language for the application, indicated by its 2-letter language code (en, fr, de).	Fixed value: “en”
dtd-version	Version of DTD used.	Fixed value: "1.1"
produced-by	Indicates role of party generating the submission (e.g., applicant).	Fixed value: “applicant”
ro	Code for the filing office. For EP1038 filings in OLF2.0, this will always be “EP” for EPO.	Fixed value: “EP”.
ep-procedural-phase	Indicates the procedural phase of the application for which documents are being subsequently filed, which in turn indicates the variant of the EP1038 form being submitted.	Value must be one of the following: "All-procedures" for FSE "Opposition" for OPPO "Limitation_Revocation" for LR “Appeal” for APPEAL
regulation	Patent guidelines/convention applicable.	Fixed value: “EPC”.
capacity	Capacity in which the filing office acts.	Must be one of the following fixed values: “IPEA” for FSE “ISA” for OPPO, LR, APPEAL
date-produced	Date/time of package generation in “YYYYMMDD hh:mm:ss” format.	E.g.: "20240122 11:19:17"

The table below lists the top-level XML elements under <ep-cms-sfd-request> and their key attributes:

XML Element	Description and attributes
<document-id>	Basic application/patent information for the EP1038 submission, including the corresponding EP application no. and other specific data for the FSE/OPPO variants. See EP1038 – Application/patent data for details
<file-reference-id>	User's file reference. This is the internal ID name for the EP1038 submission, as it will appear on the OLF2.0 GUI for edition/review. Can be any name chosen by the user with the following limitations: Up to 25 characters long. No blank spaces. E.g.: <file-reference-id>My_1038_request</file-reference-id>
<parties>	List of parties involved in the application (applicants, inventors, representatives…). This element has no text value nor attributes, and instead contains a set of children elements. Please see EP1038 – Parties for details and example cases.
<ep-declarations>	For EP1038 FSE submissions, this element contains the list of declarations related to selected requests for the application to which the EP1038 submission refers (such as a PACE request for accelerated search/examination). E.g.: <ep-declarations> <declaration-of-entity-or-natural-person/> </ep-declarations> Please see EP1038 – Requests for details and example cases.
<check-list>	Contains a list of children nodes corresponding to the type of document (request, description, claims…). E.g.: <cl-other-document> Each of the aforementioned child elements indicates numeric values related to each of the documents referred to in the submission, such as the total count of pages on it, no. of the first and last pages, etc. Note that this section should always contain, at least, a single empty child element <cl-request/> E.g.: <check-list> <cl-request/> <cl-other-document>Other document</cl-other-document> </check-list> Please see EP1038 – Documents for more details and example cases.
<office-specific-data>	EP1038 request data specific to the filing office (attached documents, fees…). Attributes: office: Filing office to which the specific data in the element applies. For EP1038 filed to EPO, this should have a fixed value of “EP”. lang: Procedural language, same as in element <ep-cms-sfd-request>. E.g.: “en” This element will contain information about the attached documents, the information regarding fees, and (optionally) any enclosed annotations to EPO. Please see the following subchapters for details and example cases: EP1038 – Documents EP1038 – Fees Note that attribute doc-type in the <ep-electronic-files> entry under <office-specific-data> corresponding to the EP1038 request itself can be used to identify the specific variant of form EP1038 being submitted (FSE, OPPO, LR or APPEAL). Please see EP1038 – Documents for details.

Below is an example showing the general structure in ep-sfd-request.xml and the top-level elements listed in the previous table:

<?xml version="1.1" encoding="UTF-8"?>
<!DOCTYPE ep-cms-sfd-request
SYSTEM "ep-cms-sfd-request-v1-9.dtd">
<ep-cms-sfd-request lang="en"
  dtd-version="1.1"
  ro="EP"
  produced-by="applicant"
  ep-procedural-phase="All-procedures"
  regulation="EPC"
  capacity="IPEA"
  date-produced="20231122 17:23:54">
  <document-id lang="en">
    <country>EP</country>
    <doc-number>EP20202020.2</doc-number>
    <kind>application</kind>
    <date>20231101</date>
  </document-id>
  <file-reference-id>1038-FSE-Example</file-reference-id>
  <parties>
    …
  </parties>
  <ep-declarations>
    <declaration-of-entity-or-natural-person/>
    …
  </ep-declarations>
  <check-list>
    <cl-request/>
    …
  </check-list>
  <office-specific-data office="EP" lang="en">
    <ep-electronic-files doc-type="1038-CMS-SE">
      <applicant-file-name/>
      <ep-file-name>epf1038.pdf</ep-file-name>
    </ep-electronic-files>
    …
    <ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
      …
    </ep-financial-data>
  </office-specific-data>
</ep-cms-sfd-request>

The details for the child elements of <ep-cms-sfd-request>, their relevant attributes and how they are mapped to the different form fields and tabs (e.g., the list of involved parties and their contact information in the <parties> element, filled out via the Parties tab in the EP1038 form) will be described in subsequent section in this form’s chapter.

Document codes and file types for EP1038

EP1038 allows applicants to attach many different document types, all of which are subject to legal modifications to the procedure.

There are some restrictions as to combining document types and fee payments in one application. Please create separate import packages for each of the following submissions:

• Public documents and fees related to public documents
• Non-public documents and fees related to non-public documents; see EP1038 – Fees

Document code	Document code	EPO file name *)	EPO file name *)	Phase / Form 1038 Variant	Description

Request

PACKDATAXML	PACKDATAXML	package-data.xml	package-data.xml	All	Package
RECXML	RECXML	xmit-receipt.xml	xmit-receipt.xml	All	Receipt in XML format
REQXML	REQXML	ep-sfd-request.xml	ep-sfd-request.xml	All	Application data, see table above

Internal documents generated by OLF2.0 (not to be imported)

1038-CMS-SE	epf1038	epf1038	FSE	EP 1038 request for subsequent filing of documents (filing/search/examination)	EP 1038 request for subsequent filing of documents (filing/search/examination)
1038-CMS-O	epf1038	epf1038	OPPO	EP 1038 request for subsequent filing of documents (opposition)	EP 1038 request for subsequent filing of documents (opposition)
1038-CMS-L	epf1038	epf1038	LR	EP 1038 request for subsequent filing of documents (limitation/revocation)	EP 1038 request for subsequent filing of documents (limitation/revocation)
1038-CMS-AP	epf1038	epf1038	APPEAL	EP 1038 request for subsequent filing of documents (appeal)	EP 1038 request for subsequent filing of documents (appeal)

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Other document codes ZIP related

OLF-ARCHIVE	OLF-ARCHIVE.zip		Preconversion OLF archive

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Graphic files

OTHERTIF	<filename>.tif		Other
SIGNIMGTIF	<Request>-signature-1.tif		Unexpected/undefined document
SIGNIMGJPG	<Request>-signature-X.jpg		Unexpected/undefined document

*) If there is more than one file of this type of document, the character 1 in the file names must be replaced by 2, 3 etc.

As each variant of the EP1038 form (FSE, OPPO…) accept different types of document attachments, the list has been split into four individual sub-chapters for convenience.

Documents for EP1038 FSE

The list below provides a reference of documents that can be submitted in EP1038 FSE, although some of them can also be attached in other variants of EP1038 (as indicated in the “Phase / Form 1038 Variant” column):

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

PDF Attachments, in alphabetical order (the file name extension is always*.pdf)

1002E	1002E-X	FSE	Designation of inventor (non-public)
1003	1003-X	FSE	Authorisation of representative
1005	1005	FSE	Request for accelerated search/examination (non-public)
1009	1009	FSE	Request for participation in the Patent Prosecution Highway (PPH) (non-public)
1012	1012	FSE	Enquiry as to the processing of the file
1013	1013-X	FSE	Request for retrieval of priority document from DAS
2936	ADVOFDELIVRY-X	FSE	Acknowledgement of receipt

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
ABEX	ABEX-X	FSE	Amendments before examination
ABSTMOD	ABSTMOD-X	FSE	Modified abstract
ABSTTRAN	ABSTTRAN-X	FSE	Translation of the abstract
ANNEX-NP	ANNEX-NP-X	FSE, APPEAL	Non-public annex
APPRASSI	APPRASSI-X	FSE	Request for assignment
BIOM	BIOM-X	FSE	Document concerning micro-organisms and medical inventions
CD-MISC-E	CD-MISC-E-X	FSE	Miscellaneous requests concerning client data
CDAPPR-CHOA	CDAPPR-CHOA-X	FSE, APPEAL	Request for change of address
CDAPPR-CHON	CDAPPR-CHON-X	FSE, APPEAL	Request for change of name
CDAPPR-CHOR	CDAPPR-CHOR-X	FSE, APPEAL	Request for change of representative

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
CDAPPR-RFA	CDAPPR-RFA-X	FSE	Request for assignment
CDAPPR-TOR	CDAPPR-TOR-X	FSE	Request for transfer of rights
CLMS	CLMS-X	FSE, APPEAL	Claims
CLMS-HWA	CLMS-HWA-X	FSE, OPPO, APPEAL	Amended claims with annotations
CLMSPAMD	CLMS-X	FSE, APPEAL	Amended claims (clean copy)
CLMSTRAN-DE	CLMSTRAN-DE-X	FSE, OPPO	German translation of the claims
CLMSTRAN-EN	CLMSTRAN-EN-X	FSE, APPEAL	English translation of the claims
CLMSTRAN-FR	CLMSTRAN-FR-X	FSE, APPEAL	French translation of the claims
DESC-HWA	DESC-HWA-X	FSE, OPPO, APPEAL	Amended description with annotations
DESCNEW	DESCNEW-X	FSE	Missing parts of the description
DESCPAMD	DESC-X	FSE	Amended description (clean copy)
DESCTRAN	DESCTRAN-X	FSE	Translation of description
DEST	DEST-X	FSE	Document concerning designated contracting states, extension/validation states

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
DRAW	DRAW-X	FSE, APPEAL	Drawings
DRAW-HWA	DRAW-HWA-X	FSE, OPPO, APPEAL	Amended drawings with annotations
DRAWNEW	DRAWNEW-X	FSE, APPEAL	Missing parts of the drawings
DRAWPAMD	DRAW-X	FSE, APPEAL	Amended drawings (clean copy)
DRAWTRAN	DRAWTRAN-X	FSE, APPEAL	Translation of text in drawings
ENQUIRY	ENQUIRY-X	FSE	General enquiry
EPLETT	EPLETT-X	FSE	Letter relating to the search and examination procedure
EUCLWAIVER	EUCLWAIVER-X	FSE	Waiver in respect of communication under Rule 161/162 EPC
EXAM	EXAM-X	FSE	Document filed during examination procedure
EXAMREQ	EXAMREQ-X	FSE	Request for examination
EXRE3	EXRE3-X	FSE	Reply to examination report
EXRE92	EXRE92-X	FSE	Request for extension of time limit during examination procedure
F1002	F1002-X	FSE	Designation of inventor
FEES	FEES-X	FSE	Document concerning fees and payments
FICO	FICO-X	FSE, APPEAL	Request for certified copies of application (non-public)
FISP	FISP	FSE, APPEAL	Request for inspection of file (non-public)
FREP	FREP-X	FSE, APPEAL	Document concerning representation
IGRA	IGRA-X	FSE	Reply to communication under Rule 71(3) EPC
IGRE	IGRE-X	FSE	Request for correction/amendment of the text proposed for grant sent from 01.04.2012
INVT	INVT-X	FSE	Document concerning the inventorship
INVT201	SignedEPR201-X	FSE	Inventor waiver – Rule 20(1) EPC (non-public)
IPERTRAN	IPERTRAN-X	FSE	Translation of international preliminary examination report
MEDA	MEDA-X	FSE, APPEAL	Medical certificate (non-public)
MEPA	MEPA-X	FSE	Maintenance of the application
ORAL	ORAL-X	FSE	Letter dealing with oral proceedings
ORALWDRA	ORALWDRA-X	FSE, APPEAL	Withdrawal of request for oral proceedings
OTHERPDF	OTHER-X	FSE, LR	Other document
PPH-EXAM	PPH-EXAM-X	FSE	PPH: documents for examination
PPH-SRCH	PPH-SRCH-X	FSE	PPH: documents for search
PRIO	PRIO-X	FSE, OPPO	Document concerning the priority claims

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
PRIOTRAN	PRIOTRAN-X	FSE, OPPO	Translation of priority documents
PRSR	PRSR-X	FSE	Search results required under Rule 141(1) EPC
PRSR-NON	PRSR-NON-X	FSE	Statement of non-availability of search results required under Rule 141(1) EPC
PRSR-REPLY	PRSR-REPLY-X	FSE	Reply to the communication under rule 70b EPC
R88	R139-X	FSE	Request for correction of the documents (Rule 139 EPC)
RDEC	RDEC-X	FSE, OPPO	Request for a decision
REES	REES-X	FSE, OPPO, APPEAL	Request for re-establishment of rights/restitutio in integrum
REESGROUNDS	REESGROUNDS-X	FSE, OPPO	Grounds for re-establishment of rights/restitutio in integrum
REPTORCLAR	REPTORCLAR-X	FSE	Reply to request for clarification
RFPR	RFPR-X	FSE, APPEAL	Request for further processing
SRCH	SRCH-X	FSE	Document concerning search matters
SUBCLMS	SUBCLMS-X	FSE	Subsequently filed claims
SUSI	SUSI-X	FSE, APPEAL	Request for suspension/interruption of procedure
TDOC	TDOC-X	FSE, OPPO	Citations filed by a third party
TDOCNPL	TDOCNPL-X	FSE	Non-patent literature filed by a third party
TDOCP	TDOCP-X	FSE	Patent document filed by a third party
TIMEEXTREQ	TIMEEXTREQ-X	FSE, APPEAL	Request for extension of time limit
TIPA1	TIPA1-X	FSE	Observations filed by third parties (Art. 115 EPC)
TIPA7	TIPA7-X	FSE	Reply to third party observations
TIPAREPLY	TIPAREPLY-X	FSE	Reply from applicant/patentee regarding third party observations
TRANEAPP	TRANEAPP-X	FSE	Translation of previously filed application
CERTPRIO	CERTPRIO-X	FSE	Certified priority document
WDRA	WDRA-X	FSE, APPEAL	Withdrawal of application
WDRADEST	WDRADEST-X	FSE	Withdrawal of designated or extension states
WOREPLY	WOREPLY-X	FSE	Reply to search opinion/written opinion/IPER

Text file attachments (TXT, APP, SEQ, XML)

SEQLTXT	SEQLTXT-X.txt	FSE	Document concerning sequence listings in ST.25 format (.txt file)
SEQLTXT	SEQLTXT-X.app	FSE	Document concerning sequence listings in ST.25 format (.app file)
SEQLTXT	SEQLTXT-X.seq	FSE	Document concerning sequence listings in ST.25 format (.seq file)
SEQLXML26	SEQLXML26.xml	FSE	Document concerning sequence listings in ST.26 format (.xml file)

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Other document codes PDF related

1005-EG	epf1005.pdf	FSE	Request for accelerated search/examination
1011BIS	1011BIS.pdf	FSE	Enquiry as to the processing of the file
1012-EG	epf1012.pdf	FSE	Request for retrieval of priority document via DAS
R139	R139-X.pdf	FSE	Request for correction of errors in filed documents
RECPDF	receipt.pdf		(Electronic) Receipt

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Other document codes ZIP related

SEQLZIP	SEQLZIP.zip	FSE	Document concerning sequence listing in ST.25 format (.zip file)
SEQLZIP26	SEQLZIP26.zip	FSE	Document concerning sequence listing in ST.26 format (.zip file)

*) If there is more than one file of this type of document, the character 1 in the file names must be replaced by 2, 3 etc.

Documents for EP1038 OPPO

The list below provides a reference of documents that can be submitted in EP1038 OPPO, although some of them can also be attached in other variants of EP1038 (as indicated in the “Phase / Form 1038 Variant” column):

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

PDF Attachments, in alphabetical order (the file name extension is always *.pdf)

2936	ADVOFDELIVRY	OPPO	Acknowledgement
CDOPPO-CHOA	CDAPPR-CHOA-X	OPPO	Request for change of address
CDOPPO-CHON	CDOPPO-CHON-X	OPPO	Request for change of name
CDOPPO-CHOR	CDOPPO-CHOR-X	OPPO	Request for change of representative
CDOPPO-TOR	CDOPPO-TOR-X	OPPO	Request for transfer of rights
CLMS-CLEAN-R82	CLMS-CLEAN-R82	OPPO	Clean copy of amended claim(s)
CLMS-HWA	CLMS-HWA-X	FSE, OPPO, APPEAL	Amended claims with annotations
CLMSTRAN-DE	CLMSTRAN-DE-X	FSE, OPPO	German translation of the claims
DESC-CLEAN-R82	DESC-CLEAN-R82	OPPO	Clean copy of amended description
DESC-HWA	DESC-HWA-X	FSE, OPPO, APPEAL	Amended description with annotations

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
DRAW-CLEAN-R82	DRAW-CLEAN-R82.pdf	OPPO	Clean copy of amended drawing(s)
DRAW-HWA	DRAW-HWA-X	FSE, OPPO, APPEAL	Amended drawings with annotations
OPPOANNEX	OTHER-X	OPPO	Other document
PRIO	PRIO-X	FSE, OPPO	Document concerning the priority claims
PRIOTRAN	PRIOTRAN-X	FSE, OPPO	Translation of priority documents
RDEC	RDEC-X	FSE, OPPO	Request for a decision
REES	REES-X	FSE, OPPO, APPEAL	Request for re-establishment of rights/restitutio in integrum
REESGROUNDS	REESGROUNDS-X	FSE, OPPO	Grounds for re-establishment of rights/restitutio in integrum
TDOC	TDOC-X	FSE, OPPO	Citations filed by a third party

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Other document codes PDF related

RECPDF	receipt.pdf		(Electronic) Receipt

Documents for EP1038 LR

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
LIMDOC	LIMDOC-X	LR	Citation for the limitation procedure
LIMLETT	LIMLETT-X	LR	Letter/request relating to the limitation procedure
LIMWDRA	LIMWDRA	LR	Withdrawal of limitation request
LIRE3	LIRE3-X	LR	Reply to the limitation report
OTHERPDF	OTHER-X	FSE, LR	Other document
RALL2	RALL2-X	LR	Letter regarding the translation of the limited claims
REVLETT	REVLETT-X	LR	Letter/request relating to the revocation procedure
REVOREQ	REVOREQ	LR	Request for revocation of patent

Documents for EP1038 APPEAL

The list below provides a reference of documents that can be submitted in EP1038 APPEAL, although some of them can also be attached in other variants of EP1038 (as indicated in the “Phase / Form 1038 Variant” column):

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
ANNEX-NP	ANNEX-NP-X	FSE, APPEAL	Non-public annex
APPEAL	APPEAL	APPEAL	Notice of appeal
APPEAL-ANNEX	APPEAL-ANNEX-X	APPEAL	Annexes (other than cited documents) regarding appeal procedure
APPEAL-CDOC	APPEAL-CDOC-X	APPEAL	Cited documents during appeal procedure
APPEAL-CNPL	APPEAL-CNPL-X	APPEAL	Non-patent literature cited during the appeal procedure
APPEAL-CP	APPEAL-CP-X	APPEAL	Patent document cited during the appeal procedure
APPEAL-EVID	APPEAL-EVID-X	APPEAL	Evidence in support of the appeal
APPEAL-GRDS	APPEAL-GRDS	APPEAL	Statement of grounds of appeal
APPEAL-LETT	APPEAL-LETT-X	APPEAL	Letter relating to appeal procedure
APPEAL-ORAL	APPEAL-ORAL-X	APPEAL	Letter dealing with oral proceedings during the appeal procedure
APPEAL-TCNPL	APPEAL-TCNPL-X	APPEAL	Non-patent literature filed by a third party during the appeal procedure
APPEAL-TCP	APPEAL-TCP-X	APPEAL	Patent document filed by a third party during the appeal procedure
APPEAL-TIPA	APPEAL-TIPA-X	APPEAL	Observations by third parties (Art. 115 EPC) during the appeal procedure
APPEALG-AC	APPEALG-AC-X	APPEAL	amicus curiae (statement by third parties in the proceedings before the Enlarged Board of Appeal in accordance with Art. 10 RPEBA)
APPEALG-LETT	APPEALG-LETT-X	APPEAL	Incoming letter in referral procedure
APPEALR-LETT	APPEALR-LETT-X	APPEAL	Letter relating to the review procedure
APPEALR-ANX	APPEALR-ANX-X	APPEAL	Annexes (other than cited documents) regarding review procedure
APPEALWDRA	APPEALWDRA	APPEAL	Withdrawal of an appeal
CDAPPR-CHOA	CDAPPR-CHOA-X	FSE, APPEAL	Request for change of address
CDAPPR-CHON	CDAPPR-CHON-X	FSE, APPEAL	Request for change of name
CDAPPR-CHOR	CDAPPR-CHOR-X	FSE, APPEAL	Request for change of representative

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
CLMS	CLMS-X	FSE, APPEAL	Claims
CLMS-HWA	CLMS-HWA-X	FSE, OPPO, APPEAL	Amended claims with annotations
CLMSPAMD	CLMS-X	FSE, APPEAL	Amended claims (clean copy)
CLMSTRAN-EN	CLMSTRAN-EN-X	FSE, APPEAL	English translation of the claims
CLMSTRAN-FR	CLMSTRAN-FR-X	FSE, APPEAL	French translation of the claims
DESC-HWA	DESC-HWA-X	FSE, OPPO, APPEAL	Amended description with annotations

Document code	EPO file name *)	Phase / Form 1038 Variant	Description
DG3OTHER	DG3OTHER-X	APPEAL	Other document
DRAW	DRAW-X	FSE, APPEAL	Drawings
DRAW-HWA	DRAW-HWA-X	FSE, OPPO, APPEAL	Amended drawings with annotations
DRAWNEW	DRAWNEW-X	FSE, APPEAL	Missing parts of the drawings
DRAWPAMD	DRAW-X	FSE, APPEAL	Amended drawings (clean copy)
DRAWTRAN	DRAWTRAN-X	FSE, APPEAL	Translation of text in drawings
FICO	FICO-X	FSE, APPEAL	Request for certified copies of application (non-public)
FISP	FISP	FSE, APPEAL	Request for inspection of file (non-public)
FREP	FREP-X	FSE, APPEAL	Document concerning representation
MEDA	MEDA-X	FSE, APPEAL	Medical certificate (non-public)
ORALWDRA	ORALWDRA-X	FSE, APPEAL	Withdrawal of request for oral proceedings
REES	REES-X	FSE, OPPO, APPEAL	Request for re-establishment of rights/restitutio in integrum
RFPR	RFPR-X	FSE, APPEAL	Request for further processing
SUSI	SUSI-X	FSE, APPEAL	Request for suspension/interruption of procedure
TIMEEXTREQ	TIMEEXTREQ-X	FSE, APPEAL	Request for extension of time limit
WDRA	WDRA-X	FSE, APPEAL	Withdrawal of application

Document code	EPO file name *)	Phase / Form 1038 Variant	Description

Other document codes PDF related

ADVOFDELIVRY	ADVOFDELIVRY-X.pdf	APPEAL	Advice of delivery
RECPDF	receipt.pdf		(Electronic) Receipt

EP1038 – Application/patent data

The Application/patent data tab in form EP1038 holds only the number(s) and type of the application/patent to which the subsequent filing of document applies, plus the user’s file reference (i.e., custom name entered by the user to identify the submission in OLF2.0).

• The referred application’s information is imported from one or more <document-id> XML elements under <ep-cms-sfd-request>. This element must contain a single attribute lang indicating the application’s procedural language with a 2-letter code (i.e., “en”, “de”, “fr”) and a set of sub-elements providing the app. no. and type information.
  • For all sub-types of form EP1038, at least one <document-id> element must be present with providing the referred application number. E.g.:

<document-id lang="en">
  <country>EP</country>
  <doc-number>EP20202020.2</doc-number>
  <kind>application</kind>
</document-id>

• For EP1038 OPPO and APPEAL variants, and in addition to the entry described above, a second <document-id> entry must also be present providing the referred patent number. This second element must have a <kind> sub-element with value “publication”. E.g.:

<document-id lang="en">
  <country>EP</country>
  <doc-number>EP20202020.2</doc-number>
  <kind>application</kind>
</document-id>
<document-id lang="en">
  <country>EP</country>
  <doc-number>EP20202020.2</doc-number>
  <kind>publication</kind>
</document-id>

ℹ️ Note

The second <document-id> element must always be present for the OPPO and APPEAL EP1038 form variants. However, the value of sub-element <doc-number> can be a blank mask “EP_______” when the submission doesn’t include a reference to a patent no. (which is an optional field).

• The user’s file reference is imported from the <file-reference-id> element following the <document-id> entries. E.g.:

<file-reference-id>1038-Example</file-reference-id>

The table below lists the required sub-elements in <document-id> and their expected values/formats:

XML Element	Description
<country>	Country/region of the referred application. For EP1038 submissions, this value will always be “EP”.
<doc-number>	Application/patent number in EP########.# format. E.g.: <document-id lang="en"> <country>EP</country> <doc-number>EP20202020.2</doc-number> <kind>application</kind> </document-id> Note that, if the <document-id> element refers to a patent no. for EP1038 OPPO or APPEAL (i.e., <kind> is “publication”), the value can be a blank mask “EP_______” if no such reference is made. E.g.: <document-id lang="en"> <country>EP</country> <doc-number>EP_______</doc-number> <kind>publication</kind> </document-id>
<kind>	Indicates whether the <document-id> entry contains an application or a patent number. The accepted values are: application: when indicating the EP application no. for any type of EP1038 submission. publication: when indicating a patent number for EP1018 OPPO or APPEAL.
<date>	Indicates the date of filing of the referred application. This element must be present when the user intends to pay for any fees in the EP1038 submission. Otherwise, it can be left blank or omitted. Note that this value is stored in is set on the Fees tab in the OLF2.0 GUI. Please see EP1038 – Fees / Payment details in this guide for more details.

Below is a basic example showing the elements listed above populated with the data filled out in the Application/patent data tab for an EP1038 FSE form:

<?xml version="1.1" encoding="UTF-8"?>
<!DOCTYPE ep-cms-sfd-request
SYSTEM "ep-cms-sfd-request-v1-9.dtd">
<ep-cms-sfd-request lang="en"
  dtd-version="1.1"
  ro="EP"
  produced-by="applicant"
  ep-procedural-phase="All-procedures"
  regulation="EPC"
  capacity="IPEA"
  date-produced="20231122 17:23:54">
<document-id lang="en">
  <country>EP</country>
  <doc-number>EP20202020.2</doc-number>
  <kind>application</kind>
  <date>20231101</date>
</document-id>
<file-reference-id>1038_example</file-reference-id>
…

EP1038 – Parties

The Parties tab of Form EP1038 accommodates all data for names, persons and addresses relating to the submission. This information is imported from the <parties> element in the ep-sfd-request.xml file.

The general structure for the top-level <parties> element in ep-sfd-request.xml is similar as in the ep-request.xml file in form EP1001. However, different types of parties may be involved depending which variant of form EP1038 is being filled, as described in the table below:

Form EP1038 Variant	Accepted parties
FSE	Applicant Representative Third parties
OPPO	Third parties Proprietors Representatives Opponents Interveners
LR	Proprietors Representatives
APPEAL	Applicants Proprietors Opponents Interveners Third parties Representatives

The <parties> element can contain <applicants> and <agents> elements, each with multiple <ep-applicant> and <ep-agent> sub-elements. The specific structure of the <parties> XML section and its corresponding sub-elements for each EP1038 form variant will be described in further detail for each in the sub-chapters below.

<parties> XML structure for EP1038 FSE

The <parties> element can contain <applicants> and <agents> elements structured as follows:

• <applicants> may contain one or more <ep-applicant> element, either referring to a single applicant or to any involved third party. The distinction between the two roles is made from the value of the app-type attribute in <ep-applicant> (see table below for details).
• <agents> may contain one <ep-agent> element for the involved representative.

ℹ️ Note

In form EP1038 FSE, either one applicant or one representative can be added at the same time, although multiple third parties may be added. Inventors or an address for correspondence cannot be added.

The required attributes for each individual <ep-applicant> and <ep-agent> element are mostly specific to the type of party, as listed in the table below:

XML Element	XML Attribute	Attribute Description	Example/fixed value
<ep-applicant>	sequence	Order no. of the applicant in the list of applicants. Always required.	E.g.: “1” for 1st applicant/third-party.
<ep-applicant>	designation	Fixed value indicating that designated states are as indicated in the submission. Always required.	Fixed value: "as-indicated"
<ep-applicant>	app-type	Indicates the specific type of party the <ep-applicant> element refers to: applicant or third party.	Value must be one of the following: “applicant” “third-party”
<ep-agent>	sequence	Order no. of the representative in the list of representatives. Always required.	E.g.: “1” for 1st representative
<ep-agent>	rep-type	Always required. Indicates sub-type of representative as follows: “common-representative”: association. “agent”: individual. “attorney”: legal practicioner.	E.g.: “common-representative”
<ep-agent>	ep-association-number	If rep-type=“common-representative” (association), this attribute is required and must provide its registration no.	E.g.: “125”

Each <ep-applicant> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• If a specific country of nationality is to be specified, a <nationality> sub-element should also be present. This will contain a single <country> child element with the 2-letter country code (e.g.: “IT” for Italy).
• Similarly, if a specific country of residence is to be specified, a <residence> sub-element should also be present, with the same internal structure as the above.

The example below shows the basic structure for the <parties> section in a request that only includes a single applicant specifying Italy (IT) as both their nationality and residence country:

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="applicant">
      <addressbook lang="en">
        …
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
  </applicants>
</parties>

Each <ep-agent> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• Optionally, an <applicant-name> sub-element may also be present indicating the name of the party they are representing.

The example below shows the basic structure for the <parties> section in a request that only includes a single representative specifying the named of their represented applicant:

<parties>
  <agents>
    <ep-agent sequence="1"
      rep-type="common-representative"
      ep-association-number=”123”>
      <addressbook lang="en">
        …
      </addressbook>
      <applicant-name>Salvatore Manzoni</applicant-name>
    </ep-agent>
  </agents>
</parties>

The <addressbook> element with the name and address detail for each party will have the following single attribute:

• lang: 2-letter language code. This must match the procedural language for the attached/referred application. E.g.: <addressbook lang="en">

The structure of the <addressbook> element is specific to the type of party involved (applicant/representative/inventor) and its sub-type (e.g., legal or natural person, for applicants):

Party element	Sub-type(s)	XML Elements in <addressbook>
<ep-applicant>	Applicant, legal person Third-party, legal person	<name name-type="legal"> <address> <address-2> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-applicant>	Applicant, natural person Third-party, natural person	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, association	<last-name> (*) <department> <registered-number> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, individual	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Legal practicioner	Same as above.

ℹ️ Note

(*) For representatives of sub-type association (i.e., with attribute rep-type=“common-representative”), the value of the <last-name> element corresponds to the Organisation name of the association acting as representative.

Below is an example showing the general structure of a <parties> element in ep-sfd-request.xml containing a single <ep-applicant> entry, with the top-level elements and attributes listed in the previous tables:

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="applicant">
      <addressbook lang="en">
        <last-name>Manzoni</last-name>
        <first-name>Salvatore</first-name>
        <orgname>Borghese S.A.</orgname>
        <department>Invenzioni</department>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
  </applicants>
</parties>

<parties> XML structure for EP1038 OPPO

The <parties> element can contain <applicants> and <agents> elements structured as follows:

• <applicants> may contain one or more <ep-applicant> element, referring one of the following party types indicated by the value of the element’s app-type attribute:
  • Proprietor (app-type=”proprietor”)
  • Third party (app-type=”third-party”)
  • Opponent (app-type=”opponent”)
  • Intervener (app-type=”intervener”)
• <agents> may contain a single <ep-agent> element for the representative (if referenced).

ℹ️ Note

In form EP1038 OPPO, either one representative of any sub-type (association, natural person or legal) can be added at the same time.

The required attributes for each individual <ep-applicant> and <ep-agent> element are mostly specific to the type of party, as listed in the table below:

XML Element	XML Attribute	Attribute Description	Example/fixed value
<ep-applicant>	sequence	Order no. of the <ep-applicant> entry of the corresponding role (app-type). Always required.	E.g.: “1” for 1st proprietor, “2” for 2nd proprietor, etc.
<ep-applicant>	designation	Fixed value indicating that designated states are as indicated in the submission. Always required.	Fixed value: "as-indicated"
<ep-applicant>	app-type	Indicates the specific type of party the <applicant> element refers to.	Value must be one of the following: “proprietor” “third-party” “opponent” “intervener”
<ep-agent>	sequence	Order no. of the representative in the list of representatives. Always required.	E.g.: “1” for 1st representative
<ep-agent>	rep-type	Always required. Indicates sub-type of representative as follows: “common-representative”: association. “agent”: individual. “attorney”: legal practicioner.	E.g.: “common-representative”
<ep-agent>	ep-association-number	If rep-type=“common-representative” (association), this attribute is required and must provide its registration no.	E.g.: “125”

Each <ep-applicant> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• If a specific country of nationality is to be specified, a <nationality> sub-element should also be present. This will contain a single <country> child element with the 2-letter country code (e.g.: “IT” for Italy).
• Similarly, if a specific country of residence is to be specified, a <residence> sub-element should also be present, with the same internal structure as the above.

The example below shows the basic structure for the <parties> section in a request that only includes a single applicant specifying Italy (IT) as both their nationality and residence country:

<parties>
  <applicants>
    <applicant sequence="1"
      designation="as-indicated"
      app-type="applicant">
      <addressbook lang="en">
        …
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </applicant>
  </applicants>
</parties>

Each <ep-agent> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• An <applicant-name> sub-element may also be present indicating the name of the party they are representing. For EP1038 OPPO, this element should always be present (required).

The example below shows the basic structure for the <parties> section in a request that only includes a single representative specifying the named of their represented applicant:

<parties>
  <agents>
    <ep-agent sequence="1"
      rep-type="common-representative"
      ep-association-number=”123”>
      <addressbook lang="en">
        …
      </addressbook>
      <applicant-name>Salvatore Manzoni</applicant-name>
    </ep-agent>
  </agents>
</parties>

The <addressbook> element with the name and address detail for each party will have the following single attribute:

• lang: 2-letter language code. This must match the procedural language for the attached/referred application. E.g.: <addressbook lang="en">

The structure of the <addressbook> element is specific to the type of party involved (applicant/representative/inventor) and its sub-type (e.g., legal or natural person, for applicants):

Party element	Sub-type(s)	XML Elements in <addressbook>
<ep-applicant>	Proprietor, legal person Third-party, legal person Opponent, legal person Intervener, legal person	<name name-type="legal"> <registered-number/> <address> <address-2> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-applicant>	Proprietor, natural person Third-party, natural person Opponent, natural person Intervener, natural person	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, association	<last-name> (*) <department> <registered-number> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, individual Legal practicioner	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>

ℹ️ Note

(*) For representatives of sub-type association (i.e., with attribute rep-type=“common-representative”), the value of the <last-name> element corresponds to the Organisation name of the association acting as representative.

Below is an example showing the general structure of a <parties> element in ep-sfd-request.xml containing two <ep-applicant> entries for a proprietor (natural person) and an opponent (legal person):

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="proprietor">
      <addressbook lang="en">
        <last-name>Manzoni</last-name>
        <first-name>Salvatore</first-name>
        <orgname>Borghese S.A.</orgname>
        <department>Invenzioni</department>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="opponent">
      <addressbook lang="en">
        <name name-type="legal">Legal Opponent Name</name>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
    </ep-applicant>
  </applicants>
</parties>

<parties> XML structure for EP1038 LR

The <parties> element can contain <applicants> and <agents> elements, each with multiple <ep-applicant> and <ep-agent> sub-elements:

• <applicants> may contain one <ep-applicant> element referring to a proprietor.
• <agents> may contain one <ep-agent> element referring to a representative.

ℹ️ Note

In form EP1038 LR, only either one applicant or one representative can be added at the same time.

The required attributes for each individual <ep-applicant> and <ep-agent> element are mostly specific to the type of party, as listed in the table below:

XML Element	XML Attribute	Attribute Description	Example/fixed value
<ep-applicant>	sequence	Order no. of the proprietor in the list of named proprietors. Always required.	Fixed value: “1” (only 1 proprietor allowed)
<ep-applicant>	designation	Fixed value indicating that designated states are as indicated in the submission. Always required.	Fixed value: "as-indicated"
<ep-applicant>	app-type	Indicates the specific type of party the <ep-applicant> element refers to.	Fixed value: "proprietor"
<ep-agent>	sequence	Order no. of the representative in the list of representatives. Always required.	Fixed value: “1” (only 1 representative allowed)
<ep-agent>	rep-type	Always required. Indicates sub-type of representative as follows: “common-representative”: association. “agent”: individual. “attorney”: legal practicioner.	E.g.: “common-representative”
<ep-agent>	ep-association-number	If rep-type=“common-representative” (association), this attribute is required and must provide its registration no.	E.g.: “125”

Each <ep-applicant> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• If a specific country of nationality is to be specified, a <nationality> sub-element should also be present. This will contain a single <country> child element with the 2-letter country code (e.g.: “IT” for Italy).
• Similarly, if a specific country of residence is to be specified, a <residence> sub-element should also be present, with the same internal structure as the above.

The example below shows the basic structure for the <parties> section in a request that only includes a single proprietor specifying Italy (IT) as both their nationality and residence country:

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="proprietor">
      <addressbook lang="en">
        …
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
  </applicants>
</parties>

Each <ep-agent> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• An <applicant-name> sub-element may also be present indicating the name of the party they are representing. For EP1038 LR, this element should always be present (required).

The example below shows the basic structure for the <parties> section in a request that only includes a single representative specifying the named of their represented applicant:

<parties>
  <agents>
    <ep-agent sequence="1"
      rep-type="common-representative"
      ep-association-number=”123”>
      <addressbook lang="en">
        …
      </addressbook>
      <applicant-name>Salvatore Manzoni</applicant-name>
    </ep-agent>
  </agents>
</parties>

The <addressbook> element with the name and address detail for each party will have the following single attribute:

• lang: 2-letter language code. This must match the procedural language for the attached/referred application. E.g.: <addressbook lang="en">

The structure of the <addressbook> element is specific to the type of party involved (applicant/representative/inventor) and its sub-type (e.g., legal or natural person, for applicants):

Party element	Sub-type(s)	XML Elements in <addressbook>
<ep-applicant>	Proprietor, legal person	<name name-type="legal"> <address> <address-2> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-applicant>	Proprietor, natural person	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, association	<last-name> (*) <department> <registered-number> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, individual Legal practicioner	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>

ℹ️ Note

(*) For representatives of sub-type association (i.e., with attribute rep-type=“common-representative”), the value of the <last-name> element corresponds to the Organisation name of the association acting as representative.

Below is an example showing the general structure of a <parties> element in ep-sfd-request.xml containing a single <ep-applicant> entry corresponding to a proprietor (natural person), with the top-level elements and attributes listed in the previous tables:

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="proprietor">
      <addressbook lang="en">
        <last-name>Manzoni</last-name>
        <first-name>Salvatore</first-name>
        <orgname>Borghese S.A.</orgname>
        <department>Invenzioni</department>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
  </applicants>
</parties>

<parties> XML structure for EP1038 APPEAL

The <parties> element can contain <applicants> and <agents> elements structured as follows:

• <applicants> may contain one or more <ep-applicant> element, referring one of the following party types indicated by the value of the element’s app-type attribute:
  • Applicant (app-type=”applicant”)
  • Proprietor (app-type=”proprietor”)
  • Third party (app-type=”third-party”)
  • Opponent (app-type=”opponent”)
  • Intervener (app-type=”intervener”)
• <agents> may contain one or more <ep-agent> element for the representatives (if referenced).

The required attributes for each individual <ep-applicant> and <ep-agent> element are mostly specific to the type of party, as listed in the table below:

XML Element	XML Attribute	Attribute Description	Example/fixed value
<ep-applicant>	sequence	Order no. of the <ep-applicant> entry of the corresponding role (app-type). Always required.	E.g.: “1” for 1st proprietor, “2” for 2nd proprietor, etc.
<ep-applicant>	designation	Fixed value indicating that designated states are as indicated in the submission. Always required.	Fixed value: "as-indicated"
<ep-applicant>	app-type	Indicates the specific type of party the <ep-applicant> element refers to.	Value must be one of the following: “applicant” “proprietor” “third-party” “opponent” “intervener”
<ep-agent>	sequence	Order no. of the representative in the list of representatives. Always required.	E.g.: “1” for 1st representative
<ep-agent>	rep-type	Always required. Indicates sub-type of representative as follows: “common-representative”: association. “agent”: individual. “attorney”: legal practicioner.	E.g.: “common-representative”
<ep-agent>	ep-association-number	If rep-type=“common-representative” (association), this attribute is required and must provide its registration no.	E.g.: “125”

Each <ep-applicant> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• If a specific country of nationality is to be specified, a <nationality> sub-element should also be present. This will contain a single <country> child element with the 2-letter country code (e.g.: “IT” for Italy).
• Similarly, if a specific country of residence is to be specified, a <residence> sub-element should also be present, with the same internal structure as the above.

The example below shows the basic structure for the <parties> section in a request that only includes a single applicant specifying Italy (IT) as both their nationality and residence country:

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="applicant">
    <addressbook lang="en">
      …
    </addressbook>
    <nationality>
      <country>IT</country>
    </nationality>
    <residence>
      <country>IT</country>
    </residence>
  </applicant>
  </applicants>
</parties>

Each <ep-agent> element should contain:

• A single <addressbook> sub-element with the name and address details. This element should always be present (required).
• An <applicant-name> sub-element may also be present indicating the name of the party they are representing. For EP1038 APPEAL, this element should always be present (required).

The example below shows the basic structure for the <parties> section in a request that only includes a single representative specifying the named of their represented applicant:

<parties>
  <agents>
    <ep-agent sequence="1"
      rep-type="common-representative"
      ep-association-number=”123”>
      <addressbook lang="en">
        …
      </addressbook>
      <applicant-name>Salvatore Manzoni</applicant-name>
    </ep-agent>
  </agents>
</parties>

The <addressbook> element with the name and address detail for each party will have the following single attribute:

• lang: 2-letter language code. This must match the procedural language for the attached/referred application. E.g.: <addressbook lang="en">

The structure of the <addressbook> element is specific to the type of party involved (applicant/representative/inventor) and its sub-type (e.g., legal or natural person, for applicants):

Party element	Sub-type(s)	XML Elements in <addressbook>
<ep-applicant>	Applicant, legal person Proprietor, legal person Third-party, legal person Opponent, legal person Intervener, legal person	<name name-type="legal"> <registered-number/> <address> <address-2> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-applicant>	Applicant, natural person Proprietor, natural person Third-party, natural person Opponent, natural person Intervener, natural person	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, association	<last-name> (*) <department> <registered-number> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>
<ep-agent>	Professional representative, individual Legal practicioner	<last-name> <first-name> <orgname> <department> <address> <pobox> <street> <city> <state> <postcode> <country> </address> <phone> <email>

ℹ️ Note

(*) For representatives of sub-type association (i.e., with attribute rep-type=“common-representative”), the value of the <last-name> element corresponds to the Organisation name of the association acting as representative.

Below is an example showing the general structure of a <parties> element in ep-sfd-request.xml containing two <ep-applicant> entries for a proprietor (natural person) and an opponent (legal person):

<parties>
  <applicants>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="proprietor">
      <addressbook lang="en">
        <last-name>Manzoni</last-name>
        <first-name>Salvatore</first-name>
        <orgname>Borghese S.A.</orgname>
        <department>Invenzioni</department>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
      <nationality>
        <country>IT</country>
      </nationality>
      <residence>
        <country>IT</country>
      </residence>
    </ep-applicant>
    <ep-applicant sequence="1"
      designation="as-indicated"
      app-type="opponent">
      <addressbook lang="en">
        <name name-type="legal">Name of opponent</name>
        <address>
          <pobox/>
          <street>Via Roma 8 / Piazza del Duomo</street>
          <city>Milano</city>
          <state/>
          <postcode>20100</postcode>
          <country>IT</country>
        </address>
        <phone>+39 2 5056 10</phone>
        <email>[email protected]</email>
      </addressbook>
    </ep-applicant>
  </applicants>
</parties>

EP1038 – Requests

ℹ️ Note

This tab and its corresponding XML data are only applicable to the EP1038 FSE form variant.

In the Requests tab of Form EP1038 FSE, users can make one of the following requests/declarations:

• Request for accelerated search/examination (PACE request)
• Enquiry as to the processing of the file
• Request for examination in an admissible non-EPO language (Article 14(4) EPC)
• Declaration that the/each applicant is a natural person or an entity under Rule 7a(1) EPC
• Declaration that the/each applicant is a micro-entity under Rule 7a(3) EPC

ℹ️ Note

Note that the first request (PACE) is mutually exclusive from the other two requests on the list above.

The information regarding the aforementioned options is imported from the contents of top-level XML element <ep-declarations> section in ep-sfd-request.xml. The table below lists the child XML elements that must appear under each <ep-declarations> entry:

Request/Declaration	XML Element in <ep-declarations>	Details and/or additional elements
PACE request	<written_request_for_accelerated_processing_EP_application>	The element on the left must contain one of the following child elements depending on the type of PACE request: <request_for_accelerated_search/> OR (exclusive): <request_for_accelerated_examination/>
Enquiry as to processing of the file	<enquiry_regarding_expected_issue_of_search_report/>
Request for examination in admissible non-EPO language	<request_examination_in_admissible_non-EPO_language/>	Additionally, element <ep-request-for-exam-art94> must also appear under <office-specific-data>, with an attribute lang indicating the requested examination language. E.g.: <office-specific-data office="EP" lang="en"> <ep-request-for-exam-art94 lang="it"/>
Declaration of natural person or an entity under Rule 7a(1) EPC	<declaration-of-entity-or-natural-person/>	Requires a Request for examination in admissible non-EPO language (see necessary elements above) in order to be applicable for a fee reduction. E.g.: <ep-declarations> <declaration-of-entity-or-natural-person/> <request_examination_in_admissible_non-EPO_language/> </ep-declarations> <check-list> <cl-request/> </check-list> <office-specific-data office="EP" lang="en"> <ep-request-for-exam-art94 lang="it"/> …
Declaration of micro-entity under Rule 7a(3) EPC	<declaration-of-micro-entity/>

The snippet below shows the sections in file ep-sfd-request.xml for an example including a PACE request for accelerated examination and a Declaration of micro-entity under Rule 7a(3) EPC:

…
</parties>
<ep-declarations>
  <declaration-of-micro-entity/>
  <written_request_for_accelerated_processing_EP_application>
    <request_for_accelerated_examination/>
  </written_request_for_accelerated_processing_EP_application>
</ep-declarations>
<check-list>
…

The snippet below shows the sections in file ep-sfd-request.xml for an example including a Request for examination in admissible non-EPO language, a Declaration of natural person or an entity under Rule 7a(1) EPC, and an Enquiry as to processing of the file:

…
</parties>
<ep-declarations>
  <declaration-of-entity-or-natural-person/>
  <enquiry_regarding_expected_issue_of_search_report/>
  <request_examination_in_admissible_non-EPO_language/>
</ep-declarations>
<check-list>
  …
</check-list>
<office-specific-data office="EP" lang="en">
<ep-request-for-exam-art94 lang="it"/>
…

When the PACE request or enquiry is electronically submitted, OLF2.0 generates a separate PDF file for the request:

• epf1005.pdf for the PACE request
• epf1012.pdf for the enquiry

ℹ️ Note

OLF2.0 will automatically create the corresponding <ep-electronic-files> XML element (in section <office-specific-data>) and <cl-other-document> (in section <check-list>) referencing the attached documents upon successful importation of the package (i.e., it is not necessary to include the latter elements in the ef-sfd-request.xml file to be imported). For more details on the structure of the aforementioned elements, please refer to: EP1038 – Documents

Alternatively, the user can submit the signed request or enquiry as a PDF file attached in the Documents tab:

• 1005.pdf for the PACE request
• 1012.pdf for the enquiry

ℹ️ Note

XML takes precedence over referenced PDF documents. If the ep-sfd-request.xml file contains the XML elements for a PACE request or for the enquiry as to the processing of the file, any referenced PDF file will not be imported if the doc-type is 1005, 1005-EG, 1012 or 1012-EG. OLF2.0 will generate a new epf1005.pdf or epf1012.pdf during import.

Please see the example cases below for more details.

PACE request for accelerated search, Declaration of natural person

ℹ️ Note

The request for accelerated search and the request for accelerated examination are mutually exclusive: only one can be selected in Form EP1038.

Creating the PACE request requires the <ep-declarations> element with the child element <written_request_for_accelerated_processing_EP_application>. The request for accelerated search is represented by the <request_for_accelerated_search/> element (for the request for accelerated examination, use the <request_for_accelerated_examination/> element).

The snippet below corresponds to the contents of ep-sfd-request.xml for a EP1038 FSE submission that includes both a PACE request for accelerated search and a declaration of natural person under Rule 7a(1):

…
</parties>
<ep-declarations>
  <declaration-of-entity-or-natural-person/>
  <written_request_for_accelerated_processing_EP_application>
    <request_for_accelerated_search/>
  </written_request_for_accelerated_processing_EP_application>
</ep-declarations>
<check-list>
…

The details of the PACE request, i.e., accelerated search or accelerated examination, are contained in the electronic form epf1005.pdf. The epf1005.pdf is not required for import. It will be re-generated by OLF2.0 when the XML package is imported.

ℹ️ Note

XML takes precedence over referenced PDF documents: If the ep-sfd-request.xml file contains the elements for a PACE request, any referenced PDF file will not be imported if the doc-type is 1005 or 1005-EG. Online Filing will generate a new epf1005.pdf during import.

Enquiry as to the processing, Request for examination in non-EPO language

ℹ️ Note

The enquiry as to the processing of the file and the PACE request are mutually exclusive: only one can be selected in Form EP1038 FSE.

Creating the enquiry requires the <ep-declarations> element with the child element <enquiry_regarding_expected_issue_of_search_report>.

Creating the request for examination in a non-EPO language requires the <ep-declarations> element with the child element <enquiry_regarding_expected_issue_of_search_report>, as well as the inclusion of the <ep-request-for-exam-art94> child element under <office-specific-data> specifying the requested language via its attribute lang.

The snippet below corresponds to the contents of ep-sfd-request.xml for a EP1038 FSE submission that includes both an enquiry as to the processing of the file and a request for examination in an admissible non-EPO language:

…
</parties>
<ep-declarations>
  <enquiry_regarding_expected_issue_of_search_report/>
  <request_examination_in_admissible_non-EPO_language/>
</ep-declarations>
<check-list>
  …
</check-list>
<office-specific-data office="EP" lang="en">
<ep-request-for-exam-art94 lang="it"/>
…

The enquiry as to the processing of the file is indicated in the Request section and is attached as document with EPO file name EPF1012.PDF. The EPF1012.pdf file is not required for import. It will be re-generated by OLF2.0 when the XML package is imported.

ℹ️ Note

XML takes precedence over referenced PDF documents: If the ep-sfd-request.xml file contains the elements for the enquiry as to the processing of the file, any referenced PDF file will not be imported if the doc-type is 1012 or 1012-EG. OLF2.0 will generate a new epf1012.pdf during import.

EP1038 – Documents

In the Documents tab of Form EP1038, users attach subsequently filed documents. Note that the total number of files to be attached is NOT limited.

ℹ️ Note

Please note that selecting a "PACE request" option in the Request tab for EP1038 FSE blocks the user from adding several types of documents (e.g., Amended description/claims/drawings) to the submission in the UI. As a result, trying to import a EP1038 submission that includes both a PACE request and any of those documents attached is not advisable, as this may lead to unexpected results (i.e., the PACE request option being automatically disabled, or the attached documents being ignored and not processed).

For each document attached with the submission, a <ep-electronic-files> element inside section <office-specific-data> must be present in ep-sfd-request.xml. An <ep-electronic-files> element must always contain the following attribute:

• doc-type: standard EPO code identifying the document type. Please see section Document codes and file types for EP1038 for a full reference list.

The table below list the child elements in each <ep-electronic-files> entry:

XML Element	Description, attributes and sub-elements
<applicant-file-name>	Name of the file as originally uploaded by the applicant during the submission in OLF2.0. E.g.: <applicant-file-name>specs_document.pdf</applicant-file-name> Note that, for the EP1038 request document itself (doc-type=”1038-CMS-*”) this element should always be empty.
<ep-file-name>	Standard EPO file name corresponding to the type of provided document (please see section Document codes and file types for EP1038 for a full list). E.g.: <ep-file-name>SPECNONEPO.pdf</ep-file-name>

Note that the doc-type attribute for the <ep-electronic-files> element corresponding to the EP1038 request itself should have one of the following values depending on which form variant is being filed:

• EP1038 FSE: doc-type=”1038-CMS-SE”
• EP1038 OPPO: doc-type=”1038-CMS-O”
• EP1038 LR: doc-type=”1038-CMS-L”
• EP1038 APPEAL: doc-type=”1038-CMS-AP”

Section <check-list> in ep-sfd-request.xml must contain a child node for each document filed in the submission. The table below list the possible child elements in that can figure in the <check-list> section depending on the provided documents and their expected contents:

XML Element	Document type	Value and/or Attributes
<cl-request>	EP10308 request of the corresponding phase.	This element should always be empty.
<cl-other-document>	Any subsequently filed document.	No attributes. Value should be the full name of the provided document. E.g.: “Translation of priority documents”

Below is a snippet showing the basic structure of the corresponding <ep-electronic-files> elements and sub-elements inside <check-list> in ep-sfd-request.xml corresponding to a EP1038 FSE request where two documents are being filed: an authorisation of representative and a document concerning representation.

…
</parties>
<check-list>
  <cl-request/>
  <cl-other-document>Authorisation of representative</cl-other-document>
  <cl-other-document>Document concerning representation</cl-other-document>
</check-list>
<office-specific-data office="EP" lang="en">
<ep-declarations/>
<ep-electronic-files doc-type="1038-CMS-SE">
  <applicant-file-name/>
  <ep-file-name>epf1038.pdf</epo-file-name>
</ep-electronic-files>
<ep-electronic-files doc-type="1003">
  <applicant-file-name>Authorisation Kilburn.pdf</applicant-file-name>
  <ep-file-name>1003-X.pdf</epo-file-name>
</ep-electronic-files>
<ep-electronic-files doc-type="FREP">
  <applicant-file-name>Representation for Nano Enterprise.pdf</applicant-file-name>
  <ep-file-name>FREP-X.pdf</epo-file-name>
</ep-electronic-files>
…

Please refer to section Document codes and file types for EP1038 in this guide to find the full list of documents that can be filed with EP1038 depending on the chosen form variant (FSE, OPPO, LR or APPEAL), including their official names and their corresponding document codes for the doc-type attribute in the <ep-electronic-files> element referring to it.

EP1038 – Fees

Unlike in EP1001 and EP1200, fees are not automatically selected in the Fees tab of form EP1038. OLF2.0 users need to manually check the specific fees that they want to pay. The reduction and the fee amount can be modified in the GUI.

For the data in the XML file, however, this is not significant, because the <fee-sub-amount>, <fee-factor> and <fee-schedule> elements just have to be filled using the appropriate values.

ℹ️ Note

The <fee-schedule> element is used for the (calculated) fee amount and the <fee-sub-amount> element contains the fee schedule (for a single fee).

Filing non-public documents and paying fees

When attaching non-public documents to your application, only the following fees can be selected:

• 025 – Duplicate copies of the patent certificate
• 026 – Extracts from the European Patent Register
• 027 – Inspection of the files
• 029 – Certified copy of application; priority document
• 080 – Certification of other documents

For all other fees, a separate submission is required.

Selecting the correct fee schedule

The fee reform of 1 April 2009 introduced a number of changes, in particular with regard to the designation fees and claims fees. If the date of filing or of entry into the regional phase of your application is earlier than 1 April 2009, you need to modify the date of the fee schedule to be applied.

There are two options for applications filed with Form EP1038:

• (A) Date of filing or entry in to regional phase on or after 1 April 2009. This is the default option and the most recent schedule applies (1 April 2010 as of the day of last editing this document).
  • Set <fees date="20100401"> or the most recent fee schedule, for applications on or after 1 April 2009.
• (B) Date of filing or entry in to regional phase before 1 April 2009. The schedule of 1 April 2008 applies.
  • Set <fees date="20080401"> for applications before 1 April 2009.
  • Specify the date attribute in the XML file for the option you require.

ℹ️ Note

You can retrieve the most recent fee schedule from the EPO website under interactive schedule of fees (https://my.epoline.org/epoline-portal/classic/epoline.Scheduleoffees).

The global information about fee payment is imported from imported from section <ep-financial-data> inside <office-specific-data>. This root <ep-financial-data> element must contain the following attributes:

• curr: currency for fee payment. This is always “EUR” by default.
• fee-amounts-unlocked-by-user: if set to “yes”, indicates that the user has intentionally unlocked the fee amounts and the EPO will not correct any values in this case. Otherwise, this is set to “no”, and the fees may therefore be subject to automatic correction by the EPO. Note that, for OLF2.0, this value will always be “no” (if set to “yes” in the imported ep-euro-pct.xml file, it will revert to “no” upon successful importation).

The root <ep-financial-data> XML element should be followed by the following child elements:

XML Element	Description, attributes and sub-elements
<mode-of-payment>	Element containing the details of the chosen mode of fee payment. Please refer to section EP1200 – Fees / Payment details for more details and examples.
<reimbursement>	(only present when providing refund instructions) Element with a single attribute accno, containing the date of fee schedule validity (in yyyyMMdd format), and the full name of the account holder as value. E.g.: <reimbursement accno="28123456">John Smith</reimbursement>
<sr-refund>	(only when providing refund instructions) when requesting refund of search fee ((Article 9(2) RFees)), this element should be present and contain the application number to which the search report corresponds. E.g.: <sr-refund>John Smith</sr-refund>
<add-copies>	(only when providing refund instructions) element indicating the no. of additional copies of the documents cited in the EP search report.
<fees>	This section must be always present. The <fees> element must include a single attribute date, containing the date of fee schedule validity (in yyyyMMdd format) plus the following sub-elements: <standard-fee>: contains a set of <fee> elements, each one indicating the details of one of the applicable standard fees for EP1038. This section must be always present. Please refer to section EP1038 - Fees / Standard fee amounts for details. <fee-total-amount>: element containing a numeric value indicating the total amount to be paid for all selected fees and in the selected currency. E.g.: <fee-total-amount>2842.5</fee-total-amount>

Note that, although the date of filing of the application is set on the Fees tab in the OLF2.0 GUI, this value is imported/stored from XML element <date> in the <document-id> sections in ep-sfd-request.xml (see EP1038 – Application/patent data for further details on said elements). E.g.:

<document-id lang="en">
  <country>EP</country>
  <doc-number>EP20202020.2</doc-number>
  <kind>application</kind>
  <date>20240101</date>
</document-id>

Below is a basic example showing the general structure of element <ep-financial-data> in ep-sfd-request.xml and the top-level sub-elements in it:

<ep-cms-sfd-request lang="en"
  dtd-version="1.1"
  ro="EP"
  produced-by="applicant"
  ep-procedural-phase="All-procedures"
  regulation="EPC"
  capacity="IPEA"
  date-produced="20231122 17:23:54">
  …
  <office-specific-data office="EP" lang="en">
    …
  </ep-electronic-files>
    <ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
      <mode-of-payment currency="EUR"
        accno="28555555"
        deferred-execution-date="20231130"
        mode-type="deposit">Account holder</mode-of-payment>
      <fees date="20231114">
        <standard-fee>
          <fee index="1" topay="yes">
            <type-of-fee>standard</type-of-fee>
            <fee-factor>0.7</fee-factor>
            <fee-schedule>94.50</fee-schedule>
            <fee-sub-amount>135.00</fee-sub-amount>
            <fee-reduction-factor>0.30</fee-reduction-factor>
          </fee>
          …
        </standard-fee>
        <fee-total-amount>2842.5</fee-total-amount>
      </fees>
    </ep-financial-data>
  </office-specific-data>
</ep-cms-sfd-request>

Payment details and fee schedule

Three different fee schedules can be applied. By default, the most recent fee schedule applies. The option to make a declaration under Rule 6(4) EPC is only available if the schedule Date of filing or Date of entry into the regional phase are on or after 01.04.2014.

Information regarding the payment details is imported from the <mode-of-payment> XML element under <ep-financial-data> in ep-sfd-request.xml. This element must contain the following attributes:

• currency: currency for fee payment. This is always “EUR” by default.
• accno: when using mode-type “deposit” (see below), this must be set to the number of EPO deposit account to be used. E.g.: "28123456"
• deferred-execution-date: when requesting a deferred date of payment execution, this attribute must be present and have said date in yyyyMMdd format as value. This attribute can either be set to an empty value or be omitted if the import file should not specify a deferred execution date.
• mode-type: selected mode of payment. Can be one of the following values depending on the chosen option:
  • “deposit”: Debit from deposit account.
  • “bank”: Bank transfer.
  • “ccard”: Credit card.

ℹ️ Note

In addition to the applicable attributes described above, the element should also contain the full name of the account/card holder to be used for payment as its value.

Below is a snippet showing the basic structure of element <mode-of-payment>:

<ep-office-specific-data office="EP" lang="en">
…
</ep-electronic-files>
<ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
<mode-of-payment currency="EUR"
  accno="28555555"
  deferred-execution-date="20231130"
  mode-type="deposit">Account holder</mode-of-payment>
<fees date="20231114">
…

Standard fees

Information regarding the applicable EP1038 standard fees is imported from the <standard-fee> XML element under <fees> in ep-sfd-request.xml.

ℹ️ Note

Note that, if you intend to pay for any of the specific fees applicable to form EP1038 (or want to be able to select/de-select it from the Fees tab in the GUI at a later point before filing), a <fee> element for it must be present under <standard-fee>. Otherwise, the fee will not be selected for payment, and you will not be able to select it on the draft submission using the GUI.

Each <fee> element must contain the following attributes:

• index: index no. of the corresponding applicable fee, as it appears on the Fees tab in OLF2.0. Note that any zeroes on the left should not be included. E.g.: "1" for fee 001, “5e”, for fee 005e, “401”…
• topay: yes/no value indicating if the corresponding fee is intended to be paid (“yes”) or not (“no”).

Each <fee> element must contain the following XML child elements:

XML Element	Description, attributes and sub-elements
<type-of-fee>	Indicates the type of fee. This should always have the value “standard”. E.g.: <type-of-fee>standard</type-of-fee>
<fee-factor>	Indicates the factor (from 0 to 1, corresponding to a 0-X00% percentage) in which the fee will be paid, according to the specified quantity and applicable reduction factor. I.e., this value should be equal to: E.g., for a reduction of 30% (0.3), this value should be 0.7.: <fee-factor>0.7</fee-factor> <fee-schedule>94.50</fee-schedule> <fee-sub-amount>135.00</fee-sub-amount> <fee-reduction-factor>0.30</fee-reduction-factor> If the fee is not selected for payment (topay=”no”), this element can be empty. Note that, when using element <fee-reduction-amount> to apply a fixed reduction (when applicable according to the guidelines), this value should be a negative amount instead of a 0-1 factor. E.g., for a reduction of 100%: <fee-factor>-1460</fee-factor> <fee-sub-amount>1460.00</fee-sub-amount> <fee-reduction-amount>1460</fee-reduction-amount>
<fee-schedule>	Indicates the amount to pay for the total quantity of the specified fee, after applying reductions. I.e., this value should be equal to: <fee-sub-amount> * quantity (i.e., number of fees as indicated in GUI) * <fee-reduction-factor> (from 0 to 1) E.g.: 94.50
<fee-sub-amount>	Indicates the base amount for the fee according to the current fee schedule (i.e., not taking reductions into account). E.g.: 135.00 If the fee is not selected for payment (topay=”no”), this element can be empty.
<fee-reduction-factor>	Indicates the reduction factor (from 0 to 1, corresponding to a 0-100% percentage) for the fee, when applicable. E.g.: 0.30 This element can be left empty if the fee is not selected for payment (topay=”no”) or for a default value of 0.

ℹ️ Note

The <fee-schedule> element is used for the (calculated) fee amount and the <fee-sub-amount> element contains the fee schedule (for one single fee).

Use the <fee-reduction-factor> element to indicate a fee reduction on a fixed or percentage basis. The default value is 0.

Use the <fee-reduction-amount> element to indicate a fee reduction on an amount basis.

Below is a snippet showing the basic structure of element <standard-fee> that includes a <fee> entry for procedural fee 001 (i.e., Filing fee - EP direct - online) applicable to form EP1001:

<ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
<mode-of-payment accno="28555555"
  mode-type="deposit"
  currency="EUR"
  deferred-execution-date="20231130">Account holder</mode-of-payment>
<fees date="20231114">
  <standard-fee>
  <fee index="1" topay="yes">
    <type-of-fee>standard</type-of-fee>
    <fee-factor>0.7</fee-factor>
    <fee-schedule>94.50</fee-schedule>
    <fee-sub-amount>135.00</fee-sub-amount>
    <fee-reduction-factor>0.30</fee-reduction-factor>
  </fee>
  …
  <fee-total-amount>2842.5</fee-total-amount>
</fees>

For more details, please see the example cases provided below.

Example: Date of filing or entry into the regional phase on or after 01.04.2014, reduced fees under Rule 7a(1) / 7a(3) EPC

Reduced fees can be applied in a EP1038 FSE submission when either the declaration under Rule 7a(1) or the declaration under Rule 7a(3) is selected in the Requests tab (see EP1038 – Requests for more details). On the ep-sfd-request.xml file, this is indicated as follows:

• Reduction of fees under Rule 7a(1) – declaration of entity or natural person: The <declaration-of-entity-or-natural-person/> element must be present under <ep-declarations>. Additionally, this requires a Request for examination in admissible non-EPO language to be filed as well, i.e.:
  • <ep-request-for-exam-art94/> must be present and the value of its lang attribute is the two-letter code of one of the admissible non-official EPO languages.
  • <request_examination_in_admissible_non-EPO_language/> must also be present under <ep-declarations>.
• Reduction of fees under Rule 7a(3) – declaration of micro-entity: The <declaration-of-entity-or-natural-person/> element must be present under <ep-declarations>.

All other fees can be selected as usual.

The example below shows the selection of the filing fee 001 and the examination fee 006, both with a reduction of 30% applied and a declaration under rule 7a(1).

XML ep-sfd-request.xml

<parties>
<ep-declarations>
  <declaration-of-entity-or-natural-person/>
  <request_examination_in_admissible_non-EPO_language/>
</ep-declarations>
<check-list>
<office-specific-data office="EP" lang="en">
  <ep-request-for-exam-art94 lang="sq"/>
  <ep-electronic-files doc-type="1038-CMS-SE">
    <applicant-file-name/>
    <ep-file-name>epf1038.pdf</ep-file-name>
  </ep-electronic-files>
  <ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
    <mode-of-payment currency="EUR" accno="28123456" mode-type="deposit">IP Partners</mode-of-payment>
    <fees date="20240509">
      <standard-fee>
        <fee index="1" topay="yes">
          <type-of-fee>standard</type-of-fee>
          <fee-factor user-input="1">0.7</fee-factor>
          <fee-schedule>94.50</fee-schedule>
          <fee-sub-amount>135.00</fee-sub-amount>
          <fee-reduction-factor>0.30</fee-reduction-factor>
        </fee>
        <fee index="1e" topay="no">
        <fee index="2" topay="no">
        <fee index="5" topay="no">
        <fee index="5e" topay="no">
        <fee index="6" topay="yes">
          <type-of-fee>standard</type-of-fee>
          <fee-factor user-input="1">0.7</fee-factor>
          <fee-schedule>1340.50</fee-schedule>
          <fee-sub-amount>1915.00</fee-sub-amount>
          <fee-reduction-factor>0.30</fee-reduction-factor>
        </fee>
        <fee index="6e" topay="no">
        <fee index="7" topay="no">
        ...
        <fee index="520" topay="no">
      </standard-fee>
      <fee-total-amount>1435.0</fee-total-amount>
    </fees>
  </ep-financial-data>
</office-specific-data>

The <fee-schedule> element is used for the (calculated) fee amount and the <fee-sub-amount> element contains the fee schedule (for one single fee). Use the <fee-reduction-factor> element to indicate a fee reduction on a fixed or percentage basis. Use the <fee-reduction-amount> element to indicate a fee reduction on an amount basis.

Example: Date of filing from 01.04.2009 to 31.03.2014

For the designation of states, a flat fee (code 005e) is applied. The listing of all selected countries within the corresponding <fee> element is not required.

XML ep-sfd-request.xml

<ep-financial-data curr="EUR" fee-amounts-unlocked-by-user="no">
  <mode-of-payment accno="IBAN: DE20 7008 0000 0333 880000 / BIC: DRESDEFF700"
    mode-type="bank"
    currency="EUR">DE</mode-of-payment>
  <fees date="20240516">
    <standard-fee>
      <fee index="1" topay="no">
      <fee index="1e" topay="no">
      <fee index="2" topay="no">
      <fee index="5" topay="no">
      <fee index="5e" topay="yes">
        <type-of-fee>standard</type-of-fee>
        <fee-factor user-input="1">1</fee-factor>
        <fee-schedule>685.00</fee-schedule>
        <fee-sub-amount>685.00</fee-sub-amount>
        <fee-reduction-factor>0</fee-reduction-factor>
      </fee>
      <fee index="6" topay="no">
      (...)
      <fee index="520" topay="no">
    </standard-fee>
    <fee-total-amount>685.0</fee-total-amount>
  </fees>
</ep-financial-data>
</office-specific-data>
</ep-cms-sfd-request>

The <fee-schedule> element is used for the (calculated) fee amount and the <fee-sub-amount> element contains the fee schedule (for one single fee). Use the <fee-reduction-factor> element to indicate a fee reduction on a fixed or percentage basis. Use the <fee-reduction-amount> element to indicate a fee reduction on an amount basis.

EP (1038) – Annotations

At the end of the <office-specific-data> section (right after closure of the <ep-financial-data> section corresponding to fee payment details), one or more <ep-notes-to-EPO> elements can be included, each one containing Annotations to send additional information to the EPO. The number of annotations is unlimited.

ℹ️ Note

If no annotations are to be included in the submission (as they are entirely optional), no <ep-notes-to-EPO> elements should be present in the ep-sfd-request.xml file.

The root element for each annotation (<ep-notes-to-EPO>) must contain the following attributes:

• page: fixed string value “Annotate”.
• id: a “note#” string where # is a number representing the order of creation of the current note (i.e.: note1 for the firstly note created, then note2, note3 and so on).

E.g.: <ep-notes-to-EPO page="Annotate" id="note1">

The table below lists the child XML elements that must appear under each <ep-notes-to-EPO> entry:

XML Element	Description and attributes
<author>	Full name (first + last name) of the user authoring the annotation.
<subject>	Subject of the annotation.
<date>	Date in which the annotation was created, in yyyyMMdd format. Note that this value is not shown in the request PDF for EP1038.
<dtext>	Text contents of the annotation.

The example below shows how two annotations created by two different users are stored in the ep-sfd-request.xml file:

<office-specific-data office="EP" lang="en">
  …
  <ep-notes-to-EPO page="Annotate" id="note1">
    <author>Salvatore Manzoni</author>
    <subject>Account information</subject>
    <date>20130127</date>
    <dtext>Payment details may be changed at a later date.</dtext>
  </ep-notes-to-EPO>
  <ep-notes-to-EPO page="Annotate" id="note2">
    <author>Luigi Manzoni</author>
    <subject>Representation</subject>
    <date>20141027</date>
    <dtext>There will be a new representative for Mr. Manzoni starting Jan 1 2015, who will take over all applications of Salvatore Manzoni and TechInvent S.A. The details and the authorisation will be filed subsequently.</dtext>
  </ep-notes-to-EPO>
</office-specific-data>
</ep-cms-sfd-request>