EPO Form 1200 for Entry Into the European Phase

The European Patent Office (EPO) has a specific form for entering the European Regional Phase of a Patent Cooperation Treaty patent application (a ‘Euro-PCT’).

1. Background

The contents of the application must be the same as filed as the PCT application, subject to any amendments made during the PCT stage or amendments provided on entry of the European Regional Phase.

2. European Regional Phase Requirements

To enter the regional phase, a filer must use the Form 1200. On the form the filer must:
• Provide European representative details
• Identify if any amendments or translations are being filed
• Request examination, designate states,
• Identify fees being paid
• Specify what examination should be based on, meaning the PCT application as published or as amended during the PCT stage or as amended on entry.

The form may be filed electronically via the EPO Online Filing software, the EPO case management system (CMS) or the EPO Web-Form filing service. The EPO Online Filing software and CMS require a SmartCard to be used.

3. EPO Online filing software

This can be installed locally on a local computer or on a network and can be accessed here for downloading

4. CMS

CMS is an online filing system which can be accessed here.

5. EPO Web-form filing service

This filing service is also an online filing system but does not require a SmartCard however, a user needs to register to use the service. A user can register for the EPO Web-Form filing service here.

6. The EPO’s Form 1200

The EPO Online Filing software and CMS require the user to enter the information requested in the Form 1200. The EPO Web-Form filing service requires the user to enter in basic information (user reference and application number) and then upload the completed Form 1200 and any amendments being made on filing. The Form 1200 is available here.

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7. Page by page walkthrough of Form 1200

Page 1

In the first box enter the European application (if known), if not enter the PCT application or publication number.
In the second box enter in the Applicant or Representative case reference (if applicable).
The first box at 1. is automatically ticked – this states that the applicant details are the same as those in the published PCT application.
- If there are changes to the Applicant which have not been recorded by WIPO tick the second box at 1. And attach a separate sheet that contains the changes in relation to the applicant.
- If the details for the Applicant were missing in the PCT tick the third box at 1. And attach a separate sheet that contains the changes in relation to the applicant.
The box entitled Address for correspondence only needs to be completed by applicants who are not required to appoint a professional representative and have not appointed a representative. If required, the applicant’s own address must be entered.
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box.

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Page 2

The first box at 2. enter in professional representative details if more than one attorney is appointed from the same firm tick the small box at 2.
3 – if a legal practitioner entitled to act before the EPO or an authorised employee acting on behalf of the applicant is handling the file then authorisation is required (Form 1003 for individual authorisations or 1004 for general authorisations – forms can be obtained here https://www.epo.org/applying/forms/forms.html)
- Tick first box if authorisation is being filed with the Form 1200
- Tick the second box if a general authorisation was filed previously and enter in the number assigned by the EPO when the general authorisation was filed previously
- Tick the third box if a general authorisation was filed previously but not yet registered (accepted)
- Tick the fourth box if an authorisation was filed at the EPO for the PCT
The first box at 4, 4.1 Examination is requested is automatically ticked
- If requesting examination in admissible non-EPO language (so not in English, German or French) enter in the admissible language in the large second box
- If the applicant requesting in an admissible language is small or medium-sized enterprises; or natural persons or non-profit organisations, universities, or public research organisation under Rule 6(4) EPC then the second small box should be ticked
If additional copies of documents cited in the supplementary European search report are required tick the box at 5. and enter in the number of additional copies required at the large second box.
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box on page 1

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Page 3

If the filing is to be based on the PCT application as published tick the first box at 6.1
- If amendments are being filed with Form 1200 based on the published PCT tick the second box in 6.1
- If comments on the written opinion established by the EPO as the International Searching Authority (‘ISA’) and/or observations are being filed with Form 1200 tick the third box in 6.1
If a Demand was filed in the PCT Stage (Chapter II) and filing should be based on the documents on which the preliminary examination report was issued on tick the first box in 6.2
- If amendments are being filed with Form 1200 based on Chapter II tick the second box in 6.2
- If comments on the written opinion established by the EPO as the International Preliminary Examining Authority and/or observations are being filed with Form 1200 tick the third box in 6.2
The fourth box in 6.2 is automatically ticked
For each previous application where priority is claimed if search results issued, they should be attached and the box at 6.3 ticked
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box on page 1.

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Page 4

If the PCT application and the priority application are in one of the official European languages section 7 can be ignored – otherwise
- If a translation of the PCT application as originally filed is being provided with the Form 1200 tick the box at 7.1
- If a translation of the priority application(s) is being provided with the Form 1200 tick the box at 7.2
- If the priority application was not in an official European language, but the PCT application was filed in an official European language and was a complete translation of the priority application then tick the box at 7.3
- If amended claims were filed under Chapter I and should be used in the European Regional Phase and the translation of claims are being provided tick the box at 7.4
- If translations of any annexes to the international preliminary examination under Chapter II are being provided tick the box at 7.5
If the invention does not relate to Biological material section 8 can be ignored – otherwise
- Tick the box at 8 and enter in the identification reference, the name and address of the institution where the material is deposited and the accession number if the boxes provided respectively in 8.
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box on page 1.

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Page 5

Section 8 continues – so if not relevant the remainder of section 8 on this page can be ignored – otherwise
- If the depository details are not yet known tick the box and in the larger box enter in the details provided in the international publication or any translation provided as part of section 7
- You need to advise if the deposit receipt is being sent with the Form 1200, if so tick the first box after this question, if it will be filed later tick the second box and if a waiver of right to an undertaking is being attached tick the third box
If the invention does not contain a sequence listing section 9 can be ignored – otherwise
- If the sequence listing was filed with the PCT or furnished to the EPO as ISA tick the box at 9.1
- If the sequence listing is being filed with the Form 1200 tick the first box at 9.2
- If the sequence listing does not include matter which is more than included in the application, then tick the second box at 9.2
There is nothing to complete in section 10 as all contracting states are automatically designated
Section 11 relates to Extension/Validation states and any boxes to complete are on page 6
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box on page.

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Page 6

At 11.1 the current extension states are listed
- If Bosnia and Heregovina is required tick the first box by BA
- If Montenegro is required tick the second box by ME
- There are two additional tick boxes and free text boxes to enter in any additional extension states which were available at the filing date – details of these further extension agreements now concluded can be found here: https://www.epo.org/about-us/foundation/extension-states.html
At 11.2 the current validation states are listed
- If Cambodia is required tick the first box by KH
  - Cambodia cannot be a validation state for pharmaceutical products
- If Morocco is required tick the second box by MA
- If the Republic of Moldova is required, tick the third box by MD
- If Tunisia is required, tick the fourth box by TN
- There is one additional tick box and free text box to enter in any further validation state which came into force after the EPO printed the Form 1200 – Details of the validation states available can be found here: https://www.epo.org/about-us/foundation/validation-states.html (Note that Georgia has signed the Validation Agreement with the EPO but it has not entered into force yet)
If early entry into the European Regional Phase (before the 31 month deadline) is being requested tick the box at 12.1
- An early request has consequences, such as the time limits relating to requesting examination and paying the examination, designation and third-year renewal fees. Full details can be found here: https://www.epo.org/law-practice/legal-texts/html/guidelines/e/e_ix_2_8.htm
The box at the bottom of the page should have the Applicant or Representative case reference (if applicable) automatically populated if entered in the second box on page 1.

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Page 7

Section 12 continues page 7. If you waive your right to the Communication under Rule 161/162 (and makes any payment for excess claims fees due and where require file a response to any issues raised during the PCT phase) tick the first box at 12.2
If you waive your right to confirm that you wish to proceed with the application and want the application to automatically proceed upon issuance of the supplementary European search report tick the second box at 12.2
Section 13 refers the user to the notes on how fees can be paid
- Payments can be made by deposit account, credit card or via a bank transfer. Full information can be found here: https://www.epo.org/applying/fees/payment.html
Section 14 has been removed from the form by the EPO
Section 15 contains
- the first box is the signature box for the applicant or representative (whoever is filing the Form 1200)
- the second box is for the employee of the applicant filing the Form 1200 on behalf of the applicant to enter in the general authorisation no.
- the last box is for entering the place where the form was signed and the date (which is a drop-down box).

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Page 8

This page contains the table where you enter in the details of the application
- - The first section relates to the International Application as published so complete this section if the application is to be based on the PCT as published.
    - The first box in column 1 should contain the first-page number and the last page number that contains the description and in the second column the total number of pages for the description should be entered.
    - The second box in column 1 should contain the first-page number and the last page number that contains the claims and in the second column the total number of pages for the claims should be entered.
    - The third box in column 1 should contain the first-page number and the last page number that contains the drawings and in the second column the total number of pages for the drawings should be entered.
    - The fourth box in column 1 should contain the page number that contains the abstract and in the second column, 1 is already populated as there is always only one page for the abstract.
  - The second section should be completed if the claims were amended during the PCT stage Chapter I and were published with the PCT application or published separately.
    - The fifth box in column 1 should contain the first-page number and the last page number that contains the amended claims and in the second column the total number of pages for the claims should be entered.
  - The third section should be completed if the application was amended during the PCT stage Chapter II.
    - The sixth box in column 1 should contain the first-page number and the last page number that contains the description and in the second column the total number of pages for the description should be entered.
    - The seventh box in column 1 should contain the first-page number and the last page number that contains the claims and in the second column the total number of pages for the claims should be entered.
    - The eighth box in column 1 should contain the first-page number and the last page number that contains the drawings and in the second column the total number of pages for the drawings should be entered.
  - The fourth section should be completed if amendments are being filed with the Form 1200.
    - The ninth box in column 1 should contain the first-page number and the last page number that contains the description and in the second column the total number of pages for the description should be entered.
    - The tenth box in column 1 should contain the first-page number and the last page number that contains the claims and in the second column the total number of pages for the claims should be entered.
    - The eleventh box in column 1 should contain the first-page number and the last page number that contains the drawings and in the second column the total number of pages for the drawings should be entered.
  - The total number of pages will be auto calculated.
  - The total number of pages which do not attract excess pages fees is automatically populated (-35).
  - The number of excess pages to be paid for needs to be manually entered into the fourteenth box in column 2 (this is the total number of pages – 35) if the total number of pages is less than 35 no excess page fees is due.