EPC – Processing of an application Anders Hansson Sofia Zander-Jakobsson

欧洲专利公约下的申请流程 安德思.汉森 索菲亚 赞得-雅各布逊

PCT STOP EP EP US CN … US CN … National Filing CN/SE/ etc. 0 M 12 M Priority Publication 0 M 12 M 18 M National Filing CN/SE/ etc. Grant 22 M 30 M PCT STOP ISR+WO Chapter II? SE GB PL … EP EP US 1a OA 1a reply R 71(3) Validation Opposition CN Grant … US CN …

PCT 停止 欧洲 欧洲 美国 中国 … 美国 中国 … 国家阶段申请提交 中国/瑞典等 0 月 12个 月 18个 月 授权 22个月 优先权 公开 国家阶段申请提交 中国/瑞典等 0 月 12个 月 18个 月 授权 22个月 30个月 PCT 停止 国际检索报告+国际公布 第二章? 瑞典 英国 波兰 … 欧洲 欧洲 美国 1a 审查意见 1a 答复 R 71(3) 生效 异议 中国 批准 … 美国 中国 …

Procedure with the EPO – direct EP filing Art. 75/78/80 Formalities Art. 90 Search Art. 92 Publication Art. 93 Examination Art. 94 Refusal Art. 97(2) Grant Art. 97(1) PACE After according date of filing, search and formalities in parallell.

在欧专局的流程——直接申请 加快程序 提交 Art. 75/78/80 形式审查 Art. 90 检索 Art. 92 公布 Art. 93 After according date of filing, search and formalities in parallell.

Examination of an application – Main phases 1. Examination on filing Art. 90(1) and Art. 90(2) Date of filing (indication, contact information, description/reference) 2. Examination on formal requirements Art. 90(3) Languages Request Designation of inventor Declaration of priority Representation In most cases the EPO will invite the applicant to correct deficiencies 3. Examination on substantive matters Art. 94(3) Art. 80 – R. 40 no claims are needed Art. 90(3) – R.40 and R. 55

申请的审查——主要阶段 1. 对提交的审查Art. 90(1) and Art. 90(2) 申请日(指示, 联系信息, 说明书/对比文件) 2. 形式要求的审查 Art. 90(3) 语言 请求 指定发明人 优先权声明 代理 EPO会邀请申请人补正缺陷 3. 对实质性事项的审查Art. 94(3) Art. 80 – R. 40 no claims are needed Art. 90(3) – R.40 and R. 55

Drawing up the European search report Art. 92 Extended European search report (EESR) ESR and opinion Plurality of independent claims Incomplete search – partial or no search Lack of unity Publication of search report Triggers request for examination Designation fees

欧洲检索报告的起草Art. 92 扩展的欧洲检索报告(EESR) 检索报告(ESR)+审查意见 多个独立权利要求 未完成的检索——部分检索或无检索 缺乏单一性 检索报告的公开 请求实审的触发点 指定费

R 62a – Applications containing a plurality of independent claims Multiple independent claims in each category are allowed if they are directed to inter-related products, different uses of a product or apparatus or alternative solutions to a particular problem when a single claim is not appropriate. An application not fulfilling this requirement will be objected to by the Search Division, i.e. before the start of substantive examination. Search will be carried out on the basis of the first independent claim in each category – EPO will issue invitation to pay further search fees, may be done under protest. By defining the invention more clearly at the start of the search stage, the problems of multiple independent claims in the same category during search and examination will be reduced, providing legal certainty for the public about the scope of the application at an early stage.

细则62a——包含多个独立权利要求的申请 在每一种类的多项独立权利要求仅当它们指向相互关联的产品、产品或器械的不同的用途、或特定问题的可替换方案而不适于采用单个权利要求时才被允许 不满足这一要求的申请将会被检索部反对，即，在实质审查之前 检索只会以每一类的第一项独立权利要求做出——欧专局将会发出缴纳附加检索费的邀请，可以异议 By defining the invention more clearly at the start of the search stage, the problems of multiple independent claims in the same category during search and examination will be reduced, providing legal certainty for the public about the scope of the application at an early stage.

Incomplete or partial search (Rules 63, 64) Meaningful search impossible (Rule 63): Technical character, not excluded from patentability, sufficiently clear and complete, claims must be clear, concise and supported by the description. Invited to file statement, within 2 M No statement or not sufficient - issue a partial search report or a declaration that no meaningful search can be carried out. When the examining division assumes responsibility, it will invite you to delete the unsearched subject-matter from the application unless it finds that the objection was unjustified.

未完成的或部分的检索 (Rules 63, 64) 不可能做出有意义的检索(Rule 63): 技术特征，没有从可专利性中排除，足够清楚和完整，权利要求必须清楚、简明并得到说明书支持 邀请2个月内提交陈述 如果没有陈述或陈述不充分——发出部分检索报告或声明无法做出有意见的检索 当实审部接手后，会邀请你从申请中删除没有检索的主题，除非它发现检索索部的反对是不公平的

Lack of unity in search (Rule 64) European search report will be drawn up on those parts which relate to the invention first mentioned in the claims. Search division informs applicant that a further search fee must be paid in respect of each of the inventions within a period that it specifies. Any further search fees paid will be refunded on request if it emerges during examination proceedings that the Search division's request for payment was not justified.

检索时缺乏单一性 (Rule 64) 欧洲检索报告将针对首次提到的那组权利要求做出 检索部通知申请人，在指定的期限内缴纳附加检索费 如果在实审过程中发现检索部要求支付附加检索费是不公平的，则可以申请退回附加检索费

Publication of a European patent application Technical preparations completed five weeks before the expiry of 18 month from date of filing or priority Application may be withdrawn before this date – can be made on condition of non-publication No publication if withdrawn or refused before the termination of technical preparations Invalid publication – does not give rise to prior right effect Art. 54(3) Publication of application, and in an annex the ESR Triggers six months time limit for: Request for examination Payment of designation fees Mandatory reply (R. 70a) if negative EESR

欧洲专利申请的公开 申请提交日或优先权日起18个月的期限届满前5周做好公开的技术准备 申请在此日期之前可以撤回——这样可以使申请不被公开 在技术准备结束前撤回或拒绝的话，将不会公开 无公开效力——不产生在先权利效果Art. 54(3) 申请的公开，附件中有ESR 触发下述事件的6个月期限计时： 请求实审 支付指定费 如果EESR结果是负面的，则必须答辩(R. 70a)

Examination of a European Patent Application Request for examination: Up to six months after the date on which the publication of the search report is mentioned The applicant is given an opportunity to comment the EESR and corrrect deficiencies Mandatory reply if EESR is negative

欧洲专利申请的审查 请求审查： 检索报告公开之日起6个月内 申请人有机会对EESR进行陈述并纠正缺陷 的结果为负面的话则需答复

Duty of disclosure “light” An applicant has to provide the EPO with search results concerning the priority application on filing or regional entry (or ”without delay”) (Not necessary if priority application is an EP application.) Will be included automatically, if the applicaion claims priority from a US, JP or GB application. No translation required As long as EP application is pending If not provided on filing/regional entry – will get a 2 month time limit to file: search results statement of non-availability If not – deemed withdrawn (further processing) Rule 141(1) EPC applies to all European patent applications claiming priority. Where multiple priorities are claimed, the applicant has to file copies of the office of first filing search results drawn up in respect of all previous applications concerned. The applicant's obligation under amended Rule 141(1) EPC covers search results in whatever form or format they are drawn up by the OFF (e.g. search report, listing of cited prior art, relevant part of the examination report). The copy of the search results submitted must be a copy of the official document issued by the OFF. A listing of the cited prior art drawn up by the applicant himself is not sufficient for the purpose of Rule 141(1) EPC. Where the OFF search results are not available when filing the European patent application or, in the case of a Euro-PCT application, when entering the European phase, the applicant has to file the search results with the EPO without delay after they are made available to him. The earlier the national search results are available to the EPO, the better in terms of efficiency. Ideally they will be available to the EPO examiner when he is drafting the extended European search report. New Rule 141(3) EPC provides that, without prejudice to paragraphs 1 and 2, the European Patent Office may invite the applicant to provide, within a period of two months, information on prior art within the meaning of Article 124(1) EPC. Rule 141(3) EPC allows the EPO to request any information on prior art taken into consideration in national or regional patent proceedings and concerning an invention to which the European patent application relates. This in particular encompasses search results with respect to filings whose priority is not being claimed in the European patent application. It also enables the EPO to request inter alia the copy referred to in Rule 141(1) EPC in situations where the search result is not available to the applicant when requested under new Rule 70b EPC (see below for the explanations on Rule 70b EPC). The nonextendable period of two months is aligned to that of new Rule 70b EPC.

如果申请要求的是美国、日本和英国的优先权，则自动包含在内 披露义务 申请人需要向EPO提供优先权申请的检索结果，在提交时或在进入地区阶段时，或没有耽误。（如果在优先权申请是欧洲申请时不需提供） 如果申请要求的是美国、日本和英国的优先权，则自动包含在内 不必翻译 只要欧洲专利还在申请 如果在申请和进入地区阶段时没有提供，将会有一个2个月的时限提供： 检索结果 陈述不能提供的原因 否则，申请被视为撤回（进一步处理） Rule 141(1) EPC applies to all European patent applications claiming priority. Where multiple priorities are claimed, the applicant has to file copies of the office of first filing search results drawn up in respect of all previous applications concerned. The applicant's obligation under amended Rule 141(1) EPC covers search results in whatever form or format they are drawn up by the OFF (e.g. search report, listing of cited prior art, relevant part of the examination report). The copy of the search results submitted must be a copy of the official document issued by the OFF. A listing of the cited prior art drawn up by the applicant himself is not sufficient for the purpose of Rule 141(1) EPC. Where the OFF search results are not available when filing the European patent application or, in the case of a Euro-PCT application, when entering the European phase, the applicant has to file the search results with the EPO without delay after they are made available to him. The earlier the national search results are available to the EPO, the better in terms of efficiency. Ideally they will be available to the EPO examiner when he is drafting the extended European search report. New Rule 141(3) EPC provides that, without prejudice to paragraphs 1 and 2, the European Patent Office may invite the applicant to provide, within a period of two months, information on prior art within the meaning of Article 124(1) EPC. Rule 141(3) EPC allows the EPO to request any information on prior art taken into consideration in national or regional patent proceedings and concerning an invention to which the European patent application relates. This in particular encompasses search results with respect to filings whose priority is not being claimed in the European patent application. It also enables the EPO to request inter alia the copy referred to in Rule 141(1) EPC in situations where the search result is not available to the applicant when requested under new Rule 70b EPC (see below for the explanations on Rule 70b EPC). The nonextendable period of two months is aligned to that of new Rule 70b EPC.

Examination of a European Patent Application The Examining Divison will invite applicant to correct deficiencies within a period to be specified. (Art. 94(3)/Rule 71(1)) Period normally 4 months – extension without official fees up to maximum of 6 months Also note 10 day-rule! Will only be sent if the Examiner expects a positive outcome An applicant may however receive more than one Art 94(3)

欧洲专利申请的审查 审查部会邀请申请人在指定期限内补正缺陷 (Art. 94(3)/Rule 71(1)) 期限一般为4个月——可不用缴费最多延长到6个月 同样请注意“10天原则”！ 仅在审查员预期正面结果时才会发出 但申请人有可能收到不止一次Art 94(3)

Grant procedure DE 4 M 3 M FR Rule 71(3) Art. 97(1) Publ. of B1 SE Rule 71(3) communication, i.e. the ”intention to grant” under Art. 97(1) EPC Invitation to pay fee for grant and publishing Submit translations into official languages Time limit 4 months Amendments after receipt of R 71(3)-communication Art 97(3): publication of mention of grant Specification B1 Validation in contracting states – London Agreement Time limit 3 months from mention of grant

授权程序 DE 4 M 3 M FR Rule 71(3) Art. 97(1) Publ. of B1 SE 基于Rule 71(3) 的审查意见通知，即，基于Art. 97(1) EPC“意图要授权” 邀请缴纳授权和公告费 提交官方语言译文 时限4个月 收到R 71(3)审查通知后的修改 Art 97(3): 授权的公告 专利说明书B1 在缔约国的生效——伦敦条约 时限：授权起三个月

Refusal of application (Art. 97(2)) The EPO may decide to refuse an application: If it does not meet formal and/or substantial requirements of the EPC When the applicant does not correct deficiences in the claims, when invited to do so Must be reasoned decision, based on facts the applicant is aware of and have had a chance to comment on: Proprietor may appeal Always request oral proceedings when responding to office actions Eliminates risk of a direct refusal

申请的驳回(Art. 97(2)) 欧专局可能也会驳回申请 如果不符合欧洲专利公约规定的形式或实质要求 如果申请人在被邀请补正缺陷而没有补正权利要求的缺陷时 决定必须公正，基于一个申请人知道的事实，并且给了申请人陈述的机会： 权利人可以上诉 答复审查意见时通常会请求口头审理 消除直接驳回的风险

Amendments in examination (Art. 123(2) EPC) Main rule: Must not go beyond the content of the application as filed. Not accepted Introduction of a non-disclosed feature Introduction or deletion of a disclosed feature to form a non-disclosed combination of features Accepted Change to disclosed combination of features, even if broader! Deletion of non-essential feature from a combination (cf. G1/93) Exceptions: Non-disclosed disclaimers Restore novelty over a prior right (Art. 54(3)) or an accidental anticipation Excise non-patentable subject-matter (morality, ’public order’, medical treatment) Rule 137(4): Amendments must be accompanied by basis Refer to application as filed. Indication sufficient if not necessary to look further

在审查中的修改(Art. 123(2) EPC) 主要条款：不能超出提交时申请文件的内容 不接受的修改 引入了没有披露的特征 引入或删除了一个披露的特征,形成一个没有披露的特征组合 可接受的修改 修改为已披露的特征组合，甚至可以扩大范围！ 从组合中删除非实质性特征 (cf. G1/93) 例外:未披露的放弃 通过在先权利或由于意外而恢复新颖性(Art. 54(3)) 删除不可专利的主题(道德, ’公共秩序’, 医疗方法) 细则137(4): 申请须在以下基础上 针对原始申请，足够的指示，如果不必进一步查看

Opportunities to amend (Rule 137) Amendments only with request for substantive examination (response to comm. Rule 70a or Rule 161) No amendment between filing and ESR No further amendment without the consent of the Examining division File divisional

修改时机(Rule 137) 提交分案申请 仅当请求实质审查时的修改（答复依据Rule 70a或 Rule 161的审查意见） 在提交到ESR期间不能修改 未经审查部门同意不能做进一步修改 提交分案申请

Divisional applications (Art. 76) – When to file Uses: Respond to unity bjection Postpone decision to protect second invention (but equal cost as if two applications had been filed initially) Prolong uncertainty Two-year window to file a divisional (Rule 36(1)) Clock starts after first Office action or Intention to grant Clock starts again when unity objection is raised Clock starts again when a different unity objection is raised

分案申请 (Art. 76) – 何时提出 作用: 答复单一性驳回时 推迟保护第二发明的决定（但一旦决定申请其费用与当初就申请两件是相同的） 拉长不确定性 提交分案申请的两年时间窗(Rule 36(1)) 计时从第一次审查意见或意图授权开始 当有单一性驳回时计时重新开始 当有不同的单一性驳回时计时又重新开始

Divisional applications – Conditions Claims must not go beyond content of parent application as filed Similar to amendment practice But ”dirty” divisional can be cleaned (G1/05) Filing by (Rule 40(1)(c)) is convenient Priority claim and designations copied from parent 4-month grace period for accrued annuities

分案申请——条件 权利要求不能超出原申请的内容 类似补正的要求 但“污染”的分案允许净化(G1/05) 通过引述对比文件来提交很方便 (Rule 40(1)(c)) 优先权和指定国与在先申请相同 已发生的年费在4个月的宽限期内缴纳