EPC – Processing of an application

Anders HanssonSofia 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

STOPPCT

EP

…CN

US

…CNUSEP

0 M 12 M 18 M

ISR+WO Chapter II?

22 M

Grant

GrantR 71(3) OppositionValidation

SEGB

PL…

National FilingCN/SE/ etc.

30 M

1a OA 1a reply

PublicationPriority

4

停止PCT

欧洲

…中国美国

…中国美国欧洲

0 月 12 个 月

18 个 月

国际检索报告 + 国际公布

第二章 ?

22 个月

授权

批准R 71(3) 异议生效

瑞典英国

波兰…

国家阶段申请提交中国 /瑞典等

30 个月

1a 审查意见

1a 答复

公开优先权

Procedure with the EPO – direct EP filing

Filing Art. 75/78/80

Search Art. 92Formalities Art. 90

Publication Art. 93

Examination Art. 94

Refusal Art. 97(2) Grant Art. 97(1)

PACE

在欧专局的流程——直接申请

提交 Art. 75/78/80

检索 Art. 92形式审查 Art. 90

公布 Art. 93

审查 Art. 94

驳回 Art. 97(2) 授权 Art. 97(1)

加快程序

7

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

RequestDesignation of inventorDeclaration of priority

Representation

In most cases the EPO will invite the applicant to correct deficiencies

3. Examination on substantive matters Art. 94(3)

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)

9

Drawing up the European search report Art. 92Extended European search report (EESR)

ESR and opinion

Plurality of independent claims

Incomplete search – partial or no search

Lack of unity

Publication of search reportTriggers 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

© 2002

©2012

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.

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

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 ESRTriggers six months time limit for:

Request for examinationPayment 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:a) search results

b) statement of non-availability

If not – deemed withdrawn (further processing)

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：a) 检索结果

b) 陈述不能提供的原因

否则，申请被视为撤回（进一步处理）

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

Rule 71(3) communication, i.e. the ”intention to grant” under Art. 97(1) EPC

Invitation to pay fee for grant and publishingSubmit translations into official languages

Time limit 4 monthsAmendments after receipt of R 71(3)-communicationArt 97(3): publication of mention of grant

Specification B1Validation in contracting states – London Agreement

Time limit 3 months from mention of grant

Rule 71(3)

4 M

Art. 97(1)Publ. of B1

3 MDE

FR

SE

授权程序

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

Rule 71(3)

4 M

Art. 97(1)Publ. of B1

3 MDE

FR

SE

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 EPCWhen 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

29

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 featureIntroduction or deletion of a disclosed feature to form a non-disclosed

combination of featuresAccepted

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 basisRefer 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 ESRNo further amendment without the consent of the Examining division

File divisional

修改时机 (Rule 137)

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

© 2002

©2012

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 practiceBut ”dirty” divisional can be cleaned (G1/05)

Filing by (Rule 40(1)(c)) is convenientPriority claim and designations copied from parent4-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