PCT Online User Guide

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					PCT Online User Guide
A practical guide to using IP Australia’s electronic
filing service for international patent applications
                                                                    PCT Online User Guide
                                                                   Version 1.2, December 2005




Contents
1 Introduction                                                                             3

2 Preparing your Application with PCT-SAFE                                                 3
    2.1   PCT-SAFE Settings                                                                3
    2.2   Attaching Specifications                                                         4
    2.3   Fee Calculation                                                                  5
    2.4   Mode of Payment                                                                  5
    2.5   Saving Your Application                                                          5
    2.6   Signing Your Application as an Individual                                        6
    2.7   Signing an Application as an Authorised Agent                                    8
    2.8   Submitting Your Application from PCT-SAFE                                        9

3 Submitting Your Application to IP Australia                                            11
    3.1   Uploading the application                                                      11
    3.2   Selecting Your Payment Option                                                  11
    3.3   PCT Submission Results                                                         12
    3.4   Submission Receipt                                                             13

4 Resubmitting Your Application to IP Australia                                          14
    4.1   Circumstances in Which Resubmission May Be Required                            14
    4.2   Alternative Submission Methods When Resubmission is Unsuccessful               14
    4.3   The Resubmission Process                                                       15

5 Tips and Advice                                                                        16

6 Overview of PCT Online Filing Process                                                  17

7 File Formats for Attachments                                                           18
    7.1   XML Format                                                                     18
    7.2   PDF Format                                                                     18
    7.3   Tagged Image File Format (TIFF)                                                18
    7.4   Sequence Listing attachments in ST.25 format                                   18

8 Error Messages Explained                                                               19
                                                                          PCT Online User Guide
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1 Introduction
     This guide provides a practical overview of the steps involved in filing an international
     patent (PCT) application through IP Australia’s electronic filing service (PCT Online),
     including relevant steps required to be performed using WIPO’s PCT-SAFE software
     package. It is not intended to guide applicants through the complete process of creation
     and filing of a new PCT application. For more detailed instructions on using PCT-SAFE,
     please refer to WIPO’s “PCT-SAFE Client User Guide: fully electronic filing mode”, which is
     available from the WIPO website.


2 Preparing your Application with PCT-SAFE
2.1 PCT-SAFE Settings
     Before you start preparing your application, you will need to set some default settings
     within PCT-SAFE to allow you to file electronically with IP Australia.




(1) Select Settings
    from the Tools
    menu within
    PCT-SAFE File
    Manager.




(2) Select the PCT
    filing button.

(3) Select the Full
    Electronic Filing
    option to set the
    Filing Mode.

(4) Select the
    physical media
    option to set the
    transmission
    mode.

(5) Click OK to
    finish.
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2.2 Attaching Specifications
     The description, claims, abstract, and drawings parts of your application each need to be
     created as separate files and attached individually within the Contents section of
     PCT-SAFE. For more information about file formats for specifications refer to Section 5.

     Select the Open button to browse your local drives and attach each file.




     Note:    The Single specification file checkbox must remain unchecked, as
              IP Australia cannot accept single specification PDF files.
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2.3 Fee Calculation
     The Fees section of PCT-SAFE will calculate the applicable discount.

2.4 Mode of Payment
     IP Australia does not accept payments through the PCT-SAFE application; you will need to
     select other as the mode of payment. You will be prompted to select a payment option
     when you submit your application through IP Australia’s website.




     There is no need to modify the text in the Specify box.


        Note:     The deposit account authorization checkbox must remain unchecked.



2.5 Saving Your Application
    Once you have prepared your application, you will need to save it before signing with your
    digital signature. The request, priority, names, contents, fees, and payment sections all
    need to have been completed prior to saving your application.

(1) After selecting the Save as Ready for Signing option from the File menu, you will be
    presented with an information screen (not shown), which provides application validation –
    you must scroll to the end of this screen and click OK to continue.
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(2) A Submission Preparation
    Progress dialog box will then be
    displayed. The User Reference
    is an optional field you can use
    to include your own reference
    for your application (up to 12
    characters). The reference used
    when creating the PCT-SAFE file
    will be used by default; but you
    can change it here. Select
    physical media as the Method
    of Submission, and then click
    Continue.


2.6 Signing Your Application as an Individual
      Once you have saved your application, you will need to sign it with your digital signature
      in order to ensure the legal validity and security of your application.

(1) Select the
    application to be
    signed in the Ready
    to Sign folder.



(2) Right-click and
    select Sign or
    double-click the
    selected application.




(3) PCT-SAFE will display the application documents. You can click the different application
    documents listed on the left to preview each of them. They can also be printed at this
    point.

      Note:    It is strongly recommend that you select the application-body.pdf from the
               top left of the preview screen and scroll to the end of the document to
               ensure it has been compiled correctly and is viewable in its entirety.

If the application is ready to be signed, click Continue at the bottom right of the screen.

      Note:    If you signing the application as an agent (e.g. patent attorney), please
               refer to Section 2.7 for details of additional steps required for agents.
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(4) Select from the List of signatories
    the person(s) who will sign the
    application and select the Add
    Signatory button




(5) If you only have one signatory, you must
    select Advanced Digital. You will then be
    prompted to select your digital
    certificate. Select ‘Apply signature’.

(6) If you have multiple signatories, you may
    select either Alphanumeric or Facsimile
    for each signatory. The final signature
    must be applied using the digital
    certificate, and must be the person who
    owns the certificate. To sign using the
    digital certificate select Advanced Digital.
    You will not be able to apply any more
    signatures after you use the digital
    certificate.




(7) Select your digital
    certificate.
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(8) Enter the password you used when
    requesting your certificate to complete
    the signing process.




Your application will be saved in the Ready to Submit folder within PCT-SAFE.




2.7 Signing an Application as an Authorised Agent
      This section illustrates the additional steps required for signing an application as an
      authorised agent (e.g. patent attorney or common representative) on behalf of the
      applicant(s). You need to complete steps 1-4 in Section 2.6 before following the
      instructions in this section.

(1) Select the agent from the
    applicants, representatives list. The
    agent’s name will be the same
    name that was entered as the Legal
    Entity in the PCT-SAFE application.
    Once you have selected the agent,
    the <name_of_signatory> and
    <capacity> fields will become
    available.
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(2) Type the name of the person who is
    legally entitled to act as the Agent
    in the <name_of_signatory> field,
    and the capacity in which they are
    acting (eg. Patent Attorney or
    Legally Authorised Representative)
    in the <capacity> field.




(3) You can now complete the signing process as described in Section 2.6, steps 5 to 9.

     For advice on using digital certificates in Attorney firms, please refer to the tips in
     Section 5.


2.8 Submitting Your Application from PCT-SAFE
     After signing the application you will need to “submit” it, which allows you to save the
     application in the correct format for filing with IP Australia.

(1) Select the
    application to be
    submitted in the
    Ready to Submit
    folder.



(2) Right-click and
    select Submit or
    double-click the
    selected
    application.



(3) PCT-SAFE will display all application documents in PDF format. You can click the different
    application documents listed on the left to preview each of them. You should check the
    document to ensure that they have been prepared correctly. The documents can be printed
    at this point. To ensure that you are printing the same version of the document as will be
    referred to by IP Australia, you should print the application-body.pdf from PCT-SAFE. This
    will remain your copy of the application as submitted.
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(4) If the application is ready to be submitted, click Continue.

(5) Select physical media as the Method of
    Submission, and then click Continue.




(6) You will be presented with an
    information dialog box. Click OK to
    continue.




(7) You will be prompted to save the
    application to a directory accessible by
    your computer. Once you select the
    appropriate directory, the PCT-SAFE
    application will create a new directory
    under it with the name of the Submission
    File Name (same as the reference within
    the application).
    The actual location chosen is not
    important to the process, but you will
    need to be able to find the application
    again in order to lodge it with
    IP Australia.




(8) After saving the application you will be
    presented with the following dialog
    box. Click OK to continue.




      Note:    You do not need to copy the application to physical medium. You can
               submit the application to IP Australia directly from the saved location.
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3 Submitting Your Application to IP Australia
      Once you have prepared, signed and saved your application using PCT-SAFE, it is ready for
      submission through the online services section of IP Australia’s website.

      In order to successfully submit your PCT application, the package file must not be a
      duplicate of a previous file (unless instructed by IP Australia) and must not exceed 20 MB
      in size.


3.1 Uploading the application
1) Sign in (or register as a new user) to IP Australia’s online service.

2) Select International Patent (PCT) from the New Application menu to be taken to the PCT
   online lodgement facility where you will be presented with the following screen.




3) Use the Browse button to select the prepared and signed application package file (".zg1" file)
   from your local drive. If you have been instructed by IP Australia to resubmit a previous
   online application, please select the checkbox and supply the original IP Australia pre-filing
   (reference) number. Click the SUBMIT button once to lodge your application.


3.2 Selecting Your Payment Option
      Once you have attached and submitted your application you will be presented with a
      payment options screen, where you will be given the option to Pay Now or Pay Later.
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   a) Pay Now
     If you select Pay Now you will be presented with a payment screen, which allows you to
     pay for you application online using a credit card.




     After completing the payment you will be returned to the PCT submission results screen.

   b) Pay Later
     If you select Pay Later you will be returned directly to the PCT submission results screen,
     and IP Australia will send you a fee notice requesting payment.


3.3 PCT Submission Results
     Your application will be given an initial status of VERIFYING. Processing typically takes a
     few minutes, but can take considerably longer if you have submitted a large application or
     if we are experiencing high usage of the IP Australia website.
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    Once your application has been processed, the status will change from VERIFYING to
    RECEIVED.




3.4 Submission Receipt
    After your application has been received, you can also view or download your submission
    receipt as a PDF document by clicking on the View Receipt link. IP Australia strongly
    recommends that you print or save the submission receipt for your records.




    Your electronic PCT filing is now complete.
    Note:    You need to check that the status of your application has changed from
             VERIFYING to RECEIVED to ensure lodgement. If the status has not
             changed within 15 minutes you should refer to Section 4.
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4 Resubmitting Your Application to IP Australia
4.1 Circumstances in Which Resubmission May Be Required

   a) On Advice - During IP Australia Business Hours
     If you have received advice to resubmit electronically within Business Hours
     (9am-5pm AEST):
     • Please contact the B2B Helpdesk on (02) 6283 2880;
     • The B2B Helpdesk will help you to resubmit your application via PCT Online.

   b) On Advice - Outside IP Australia Business Hours
     If you have received advice to resubmit electronically outside of Business Hours:
     • Please attempt to resubmit your application electronically (see Section 4.1);
     • Please contact the B2B Helpdesk on (02) 6283 2880 during business hours to discuss
          the status of your application.

   c) Following An Incomplete Submission Attempt
     If you have submitted an application but the status has not changed from VERIFYING to
     RECEIVED (Section 3.3) within 15 minutes:
     • Please attempt to resubmit your application electronically (see Section 4.1);
     • Please contact the B2B Helpdesk on (02) 6283 2880 during business hours to discuss
          the status of your application.

4.2 Alternative Submission Methods When Resubmission is Unsuccessful
     If after a second attempt the electronic submission is still unsuccessful, you can either to
     try to submit online at a later time or you can choose to submit your application via fax or
     PCT-EASY. The method you choose will depend on the urgency of obtaining your filing
     date.
     If submitting via fax or PCT-EASY, please include your failed transmission receipt from
     PCT Online or a note including your Pre-Filing Number and mark your fax or PCT Easy
     Filing to the attention of the B2B Helpdesk.
     Should IP Australia be unable to accept your international application via electronic
     lodgement because of technical issues, including virus infected attachments or invalid
     signatures, you will not be entitled to the electronic filing fee reduction.
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4.3 The Resubmission Process
If you need to resubmit you application you will need to repackage your application for
resubmission. The following procedures should be used.

(1) Select the
    application to be
    resubmitted from
    the Submit folder,
    right mouse click
    and select Return to
    Drafts and select
    Yes to proceed.




(2) You can now select
    the application to
    be resubmitted in
    the Drafts folder,
    right mouse click
    and select Move to
    Ready to Sign.




(3) You will now need to sign your application as described from Section 2.5.

(4) After re-signing and saving your application you can now resubmit the application to IP
    Australia as described in Section 3 with the addition of checking the resubmission checkbox
    and entering the previously assigned pre-filing number.




      Note:    Do not attempt to pay for your application on the subsequent
               resubmission if the fee was paid on your first attempt.
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5 Tips and Advice
Client Reference       The PCT-SAFE Client Reference field accepts a maximum of 12 characters.
Digital Certificates   You can apply for a digital certificate through WIPO. Processing typically
                       takes several hours, so ensure you leave yourself enough time for the
                       certificate to be issued. Alternatively, you can also use an ABN-DSC
                       certificate if you already have one for your business.
Using Digital          IP Australia recommends that law firms acting as agents should digitally
Certificates in        sign using one of the following approaches –
Attorney Firms         a) All agents within the firm sign with the same ABN-DSC certificate (a
                           business certificate issued to your firm that all authorised staff can
                           use); or
                       b) Agents with the firm sign an individual WIPO certificate issued in the
                           name of the person acting as the agent.
Page Numbers           Electronic versions of PCT applications must comply with the same
                       numbering requirements as traditional paper applications. If you attach
                       PDF or TIFF copies of the application, each page of the description,
                       claims and abstract must be sequentially numbered.
                       Each of these sections must be created and attached separately, but the
                       pages must be numbered sequentially across the three sections e.g. the
                       description page numbers 1-5, the claims as page numbers 6 – 7 and
                       the abstract as page number 8.
                       Each of the drawings pages must indicate the page of the total pages of
                       drawings eg. 1/3, 2/3 etc.
File Formats           IP Australia accepts document in XML, PDF, or TIFF formats with ST.25
                       attachments for sequence listings. Please see Section 5 for further detail.
PDF Creation           There are many commercially available software applications that can be
                       used to create PDF files. Some of these software applications create PDF
                       that are not compatible with the PCT-Safe filing software. Please check
                       the application-body.pdf file from within the PCT-Safe viewer to ensure
                       that the application can read your PDF files correctly.
Electronic             An electronic submission receipt will usually be available within several
Submission             minutes of lodging you application indicating the success or failure of
Receipts               you submission. However, if you have submitted a large file, this will
                       take longer.
                       If the submission receipt is not available, there may be a problem with IP
                       Australia’s internal processing. You should contact IP Australia during
                       the next working day to determine the status of your application. If it is
                       critical that your application is lodged on the day you are submitting it,
                       see Section 4 (Resubmitting Your Application to IP Australia).
                       The electronic submission receipt only indicates whether you submission
                       has been processed by the e-filing system. It does not indicate that we
                       have accepted you application. Your application must be assessed for
                       filing requirements by IP Australia staff.
Submission Errors      If any errors were encountered in processing your application, these will
                       be noted on your receipt, and you should contact IP Australia’s help desk
                       for assistance.
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6 Overview of PCT Online Filing Process


Details of
                                                                               Sequence
                                                                                                        1 Collate application details
•Applicants
•Inventors    +   Description   +   Claims   +   Abstract   +   Drawings   +    Listing
                                                                               (If applicable)          2Create acceptable files
•Agents
                                                                                                        3Obtain a digital certificate



                                                 PCT-SAFE                  4 Generate an electronic PCT Application
                                                  software                 5 Save to physical media

                                                       Digital
              Electronic                              Certificate
                 PCT
              Application



                                                                                                 6 Register with IP Australia OLS
                                             www.ipaustralia.gov.au                                  (new customers) or sign-in to OLS



                                :User Id
                                :Password



    IP Australia’s                   7 Submit PCT Online Application
      On Line
      Services
                                     8 Select payment option (and proceed to online payment facility for “Pay Now”)
                                     9 View application submissions


  Submission       Payment
    Receipt        Receipt




                       IP Australia                                 IP Australia                   PCT Application Processing
                        Payment                                     Operational
                       Processing                                   Processing




                                                                                                                  WIPO
                                                                           PCT Online User Guide
                                                                         Version 1.2, December 2005


7 File Formats for Attachments
     The following information is based on WIPO’s “Administrative Instructions Under the
     Patent Cooperation Treaty, Annex F – Standards for the Electronic Filing and Processing of
     International Applications” dated February 12, 2004.


7.1 XML Format
     All XML documents must conform to one of the DTDs (Document Type Definitions)
     specified by WIPO. Specifications for supported DTDs WIPO are available on the WIPO
     Website.

     You can create XML documents conforming to this standard by using the PCT-SAFE Editor
     software package, which is available free of charge from the WIPO Website.

     The coded character set for all XML documents must be confined within that specified by
     International Standard ISO/IEC 10646:2000 (Unicode 3.0). The standard character
     encoding scheme for XML documents is UTF-8.


7.2 PDF Format
     All documents in Portable Documents Format (PDF) must meet the following
     requirements:
          a)   Adobe Portable Document Format Version 1.4 compatible;
          b)   non-compressed text to facilitate searching;
          c)   unencrypted text;
          d)   no embedded OLE objects;
          e)   all fonts must be embedded and licensed for distribution.

7.3 Tagged Image File Format (TIFF)
     TIFF facsimile (black and white) images must meet the following requirements:
          a) TIFF V6.0 with Group 4 compression, single strip, Intel encoded.
          b) Resolution of either 200, 300 or 400 dpi
          c) Maximum size: whole pages should be A4 size, however the recommended
             maximum size is 255mm by 170mm.


7.4 Sequence Listing attachments in ST.25 format
     Sequence listing attachments must be text files created in compliance with WIPO standard
     ST.25 available from the WIPO Website. The information must be formatted as indicated
     in the WIPO standard and saved (or renamed) with an *.app extension for attaching to
     PCT-Safe, for example “sequence listing.app”.

     Text files can be created through a word processor and then saved as a *.txt file, or
     created through a text editor such as Microsoft’s Notepad.

     Other file types such as PDF renamed with an *.app extension will not work.
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8   Error Messages Explained

             Error Message                    Code                   Explanation
Error - the submitted data cannot be          6110   A virus was detected
confirmed to be virus free
Error - the submitted data is not             6120   The Wrapped Application Document
digitally signed                                     (WAD) was not signed by an ABN-DSC or
                                                     WIPO certificate
Error - the submitted data has been           6121   The Wrapped and Signed Package (WASP)
modified since being digitally signed                has been tampered with since it was
                                                     originally signed
Error - the submitted data was digitally      6122   B2B transaction was not signed with a
signed using a certificate that was not              ABN-DSC certificate
issued for this purpose
Error - the digital signature from the        6123   Signature was invalid
submitted data could not be verified
Error - the digital certificate that signed   6130   Certificate is expired or its effective date is
the submitted data is expired or not yet             in the future.
in force
Error - the digital certificate that signed   6131   Certificate is revoked
the submitted data is revoked
Error - the digital certificate that signed   6132   Certificate is not issued by Verisign
the submitted data was not issued by
an authority trusted by IP Australia
Error - the digital certificate that signed   6133   The PKI certificate that signed the
the submitted data could not be                      submitted data was invalid for some
validated                                            reason, including:
                                                     - the certificate was used before it came
                                                     into effect or after it expired
                                                     - the certificate was not a signing
                                                     certificate (e.g. it may be an encryption
                                                     certificate)
                                                     - the certificate has been revoked
                                                     - the certificate was not issued by the
                                                     authority nominated by IP Australia
                                                     - other non-specific causes
Reject - the digital certificate that         6140   The ABN on the certificate does not match
signed the submitted data does not                   ABN stored for this customer in the
belong to the originating customer                   customer database
(ABN mismatch)
Warning - the submitted data was not          6150   The PCT-SAFE Wrapped and Signed
generated by recommended software                    Package (WASP) was not prepared by
(recommended software is PCT-SAFE)                   WIPO’s PCT-SAFE software
Reject - the submitted data was not in        6151   The contents of the WASP were not in the
WAD format                                           Wrapped Application Document (WAD)
                                                     format
Reject - the submitted data does not          6152   The Wrapped Application Document
contain a required document                          (WAD) did not contain a mandatory file
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            Error Message                  Code                   Explanation
Reject - the submitted data does not       6153   The received Wrapped Application
contain a document listed in its                  Document (WAD) contains a manifest file
manifest                                          called "package data", the function of
                                                  which includes listing all other files in the
                                                  WAD. In this case, one of the files listed
                                                  within package data is not actually
                                                  present in the WAD

Reject - a required document in the        6154   One of the required documents is not
submitted data is invalid                         structurally correct (i.e. cannot be read)
Warning - a document in the submitted      6155   One of the optional documents is not
data is invalid                                   structurally correct (i.e. cannot be read)
Reject - IP Australia currently does not   6156   A file in the Wrapped Application
support electronic receipt of this                Document (WAD) is not an accepted file
document in this format                           format (XML, PDF or TIFF)
Reject - correspondence customer id in     6157   Address for correspondence Customer ID
NPE request is not known to IP                    in the NPE XML does not exist in the
Australia                                         customer database
Warning - the submitted data contains      6158   Files have been included in the Wrapped
one or more uncatalogued documents                Application Document (WAD) that are not
                                                  listed in package data
Warning - this is a "NULL                  6198   A Null Transaction was submitted by the
TRANSACTION" application and has not              customer with the purpose of checking
been actioned by IP Australia                     connectivity and availability of IP systems.
                                                  No service request has been passed to any
                                                  of IP Australia’s Business System
Warning - this application was             6199   A Diagnostic Transaction was submitted
submitted in diagnostic mode and                  by the customer with the purpose of
has not been actioned by IP Australia             checking that the Wrapped Application
                                                  Document (WAD) and XML were
                                                  formatted correctly. No service request
                                                  has been passed to any of IP Australia’s
                                                  Business Systems