歐洲專(zhuān)利公約下申請(qǐng)流程EPC–processingofanapplication

1、EPC Processing of an applicationAnders HanssonSofia Zander-Jakobsson歐洲專(zhuān)利公約下的申請(qǐng)流程安德思.漢森索菲亞 贊得-雅各布遜STOPPCTEPCNUSCNUSEP0 M12 M18 MISR+WOChapter II?22 MGrantGrantR 71(3)OppositionValidationSEGBPLNational FilingCN/SE/ etc.30 M1a OA1a replyPublicationPriority停止PCT歐洲中國(guó)美國(guó)中國(guó)美國(guó)歐洲0 月12個(gè) 月18個(gè) 月國(guó)際檢索報(bào)告+國(guó)際公布第二章?22

2、個(gè)月授權(quán)批準(zhǔn)R 71(3)異議生效瑞典英國(guó)波蘭國(guó)家階段申請(qǐng)?zhí)峤恢袊?guó)/瑞典等30個(gè)月1a 審查意見(jiàn)1a 答復(fù)公開(kāi)優(yōu)先權(quán)Procedure with the EPO direct EP filing Filing Art. 75/78/80Search Art. 92Formalities Art. 90 Publication Art. 93Examination Art. 94Refusal Art. 97(2) Grant Art. 97(1)PACE在歐專(zhuān)局的流程直接申請(qǐng) 提交 Art. 75/78/80檢索 Art. 92形式審查 Art. 90 公布 Art. 93審查 Art. 94

3、駁回 Art. 97(2) 授權(quán) Art. 97(1)加快程序Examination of an application Main phases1. 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)LanguagesRequestDesignation of inventorDeclaration of prio

4、rityRepresentationIn most cases the EPO will invite the applicant to correct deficiencies 3. Examination on substantive matters Art. 94(3)申請(qǐng)的審查主要階段1. 對(duì)提交的審查Art. 90(1) and Art. 90(2) 申請(qǐng)日(指示, 聯(lián)系信息, 說(shuō)明書(shū)/對(duì)比文件)2. 形式要求的審查 Art. 90(3)語(yǔ)言請(qǐng)求指定發(fā)明人優(yōu)先權(quán)聲明代理EPO會(huì)邀請(qǐng)申請(qǐng)人補(bǔ)正缺陷3. 對(duì)實(shí)質(zhì)性事項(xiàng)的審查Art. 94(3)Drawing up the European

5、 search report Art. 92Extended European search report (EESR)ESR and opinion Plurality of independent claimsIncomplete search partial or no searchLack of unityPublication of search reportTriggers request for examinationDesignation fees歐洲檢索報(bào)告的起草Art. 92擴(kuò)展的歐洲檢索報(bào)告(EESR)檢索報(bào)告(ESR)+審查意見(jiàn)多個(gè)獨(dú)立權(quán)利要求未完成的檢索部分檢索或無(wú)檢

6、索缺乏單一性檢索報(bào)告的公開(kāi)請(qǐng)求實(shí)審的觸發(fā)點(diǎn)指定費(fèi)R 62a Applications containing a plurality of independent claimsMultiple 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 clai

7、m 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 f

8、ees, may be done under protest.細(xì)則62a包含多個(gè)獨(dú)立權(quán)利要求的申請(qǐng)?jiān)诿恳环N類(lèi)的多項(xiàng)獨(dú)立權(quán)利要求僅當(dāng)它們指向相互關(guān)聯(lián)的產(chǎn)品、產(chǎn)品或器械的不同的用途、或特定問(wèn)題的可替換方案而不適于采用單個(gè)權(quán)利要求時(shí)才被允許不滿(mǎn)足這一要求的申請(qǐng)將會(huì)被檢索部反對(duì)，即，在實(shí)質(zhì)審查之前檢索只會(huì)以每一類(lèi)的第一項(xiàng)獨(dú)立權(quán)利要求做出歐專(zhuān)局將會(huì)發(fā)出繳納附加檢索費(fèi)的邀請(qǐng)，可以異議Incomplete or partial search (Rules 63, 64)Meaningful search impossible (Rule 63):Technical character, not exclud

9、ed from patentability, sufficiently clear and complete, claims must be clear, concise and supported by the description.Invited to , 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 ass

10、umes responsibility, it will invite you to delete the unsearched subject-matter from the application unless it finds that the objection was unjustified. 未完成的或部分的檢索 (Rules 63, 64)不可能做出有意義的檢索(Rule 63):技術(shù)特征，沒(méi)有從可專(zhuān)利性中排除，足夠清楚和完整，權(quán)利要求必須清楚、簡(jiǎn)明并得到說(shuō)明書(shū)支持邀請(qǐng)2個(gè)月內(nèi)提交陳述如果沒(méi)有陳述或陳述不充分發(fā)出部分檢索報(bào)告或聲明無(wú)法做出有意見(jiàn)的檢索當(dāng)實(shí)審部接手后，會(huì)邀請(qǐng)你從申請(qǐng)

11、中刪除沒(méi)有檢索的主題，除非它發(fā)現(xiàn)檢索索部的反對(duì)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 peri

12、od that it specifies. Any further search fees paid will be refunded on request if it emerges during examination proceedings that the Search divisions request for payment was not justified. 檢索時(shí)缺乏單一性 (Rule 64)歐洲檢索報(bào)告將針對(duì)首次提到的那組權(quán)利要求做出檢索部通知申請(qǐng)人，在指定的期限內(nèi)繳納附加檢索費(fèi)如果在實(shí)審過(guò)程中發(fā)現(xiàn)檢索部要求支付附加檢索費(fèi)是不公平的，則可以申請(qǐng)退回附加檢索費(fèi)Publicat

13、ion of a European patent applicationTechnical preparations completed five weeks before the expiry of 18 month from date of filing or priorityApplication may be withdrawn before this date can be made on condition of non-publicationNo publication if withdrawn or refused before the termination of techn

14、ical preparationsInvalid 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 feesMandatory reply (R. 70a) if negative EESR歐洲專(zhuān)利申請(qǐng)的公開(kāi)申請(qǐng)?zhí)峤蝗栈騼?yōu)先權(quán)日起18個(gè)月的期限屆滿(mǎn)前5周做好公

15、開(kāi)的技術(shù)準(zhǔn)備申請(qǐng)?jiān)诖巳掌谥翱梢猿坊剡@樣可以使申請(qǐng)不被公開(kāi)在技術(shù)準(zhǔn)備結(jié)束前撤回或拒絕的話(huà)，將不會(huì)公開(kāi)無(wú)公開(kāi)效力不產(chǎn)生在先權(quán)利效果Art. 54(3)申請(qǐng)的公開(kāi)，附件中有ESR觸發(fā)下述事件的6個(gè)月期限計(jì)時(shí)：請(qǐng)求實(shí)審支付指定費(fèi)如果EESR結(jié)果是負(fù)面的，則必須答辯(R. 70a)Examination of a European Patent ApplicationRequest for examination:Up to six months after the date on which the publication of the search report is mentionedThe a

16、pplicant is given an opportunity to comment the EESR and corrrect deficiencies Mandatory reply if EESR is negative歐洲專(zhuān)利申請(qǐng)的審查請(qǐng)求審查：檢索報(bào)告公開(kāi)之日起6個(gè)月內(nèi)申請(qǐng)人有機(jī)會(huì)對(duì)EESR進(jìn)行陳述并糾正缺陷的結(jié)果為負(fù)面的話(huà)則需答復(fù)Duty of disclosure “l(fā)ight”An applicant has to provide the EPO with search results concerning the priority application on filing

17、 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 requiredAs long as EP application is pendingIf not provided on filing/regional entry w

18、ill get a 2 month time limit to file:search resultsstatement of non-availabilityIf not deemed withdrawn (further processing)披露義務(wù)申請(qǐng)人需要向EPO提供優(yōu)先權(quán)申請(qǐng)的檢索結(jié)果，在提交時(shí)或在進(jìn)入地區(qū)階段時(shí)，或沒(méi)有耽誤。（如果在優(yōu)先權(quán)申請(qǐng)是歐洲申請(qǐng)時(shí)不需提供）如果申請(qǐng)要求的是美國(guó)、日本和英國(guó)的優(yōu)先權(quán)，則自動(dòng)包含在內(nèi)不必翻譯只要?dú)W洲專(zhuān)利還在申請(qǐng)如果在申請(qǐng)和進(jìn)入地區(qū)階段時(shí)沒(méi)有提供，將會(huì)有一個(gè)2個(gè)月的時(shí)限提供：檢索結(jié)果陳述不能提供的原因否則，申請(qǐng)被視為撤回（進(jìn)一步處理）Examin

19、ation of a European Patent ApplicationThe 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 monthsAlso note 10 day-rule! Will only be sent if the Examiner

20、expects a positive outcomeAn applicant may however receive more than one Art 94(3)歐洲專(zhuān)利申請(qǐng)的審查審查部會(huì)邀請(qǐng)申請(qǐng)人在指定期限內(nèi)補(bǔ)正缺陷 (Art. 94(3)/Rule 71(1)期限一般為4個(gè)月可不用繳費(fèi)最多延長(zhǎng)到6個(gè)月同樣請(qǐng)注意“10天原則”！僅在審查員預(yù)期正面結(jié)果時(shí)才會(huì)發(fā)出 但申請(qǐng)人有可能收到不止一次Art 94(3)Grant procedureRule 71(3) communication, i.e. the ”intention to grant” under Art. 97(1) EPCInv

21、itation to pay fee for grant and publishingSubmit translations into official languagesTime limit 4 monthsAmendments after receipt of R 71(3)-communicationArt 97(3): publication of mention of grant Specification B1Validation in contracting states London AgreementTime limit 3 months from mention of gr

22、antRule 71(3)4 MArt. 97(1)Publ. of B13 MDEFRSE授權(quán)程序基于Rule 71(3) 的審查意見(jiàn)通知，即，基于Art. 97(1) EPC“意圖要授權(quán)”邀請(qǐng)繳納授權(quán)和公告費(fèi)提交官方語(yǔ)言譯文時(shí)限4個(gè)月收到R 71(3)審查通知后的修改Art 97(3): 授權(quán)的公告專(zhuān)利說(shuō)明書(shū)B(niǎo)1在締約國(guó)的生效倫敦條約時(shí)限：授權(quán)起三個(gè)月Rule 71(3)4 MArt. 97(1)Publ. of B13 MDEFRSERefusal of application (Art. 97(2)The EPO may decide to refuse an application:

23、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 soMust be reasoned decision, based on facts the applicant is aware of and have had a chance to comment on:Proprietor may appealAlways request oral pr

24、oceedings when responding to office actionsEliminates risk of a direct refusal申請(qǐng)的駁回(Art. 97(2)歐專(zhuān)局可能也會(huì)駁回申請(qǐng)如果不符合歐洲專(zhuān)利公約規(guī)定的形式或?qū)嵸|(zhì)要求如果申請(qǐng)人在被邀請(qǐng)補(bǔ)正缺陷而沒(méi)有補(bǔ)正權(quán)利要求的缺陷時(shí)決定必須公正，基于一個(gè)申請(qǐng)人知道的事實(shí)，并且給了申請(qǐng)人陳述的機(jī)會(huì)：權(quán)利人可以上訴答復(fù)審查意見(jiàn)時(shí)通常會(huì)請(qǐng)求口頭審理消除直接駁回的風(fēng)險(xiǎn)Amendments in examination (Art. 123(2) EPC)Main rule: Must not go beyond the conten

25、t of the application as filed.Not acceptedIntroduction of a non-disclosed featureIntroduction or deletion of a disclosed feature to form a non-disclosed combination of featuresAcceptedChange to disclosed combination of features, even if broader!Deletion of non-essential feature from a combination (c

26、f. G1/93)Exceptions: Non-disclosed disclaimers Restore novelty over a prior right (Art. 54(3) or an accidental anticipationExcise non-patentable subject-matter (morality, public order, medical treatment)Rule 137(4): Amendments must be accompanied by basisRefer to application as filed. Indication suf

27、ficient if not necessary to look further 在審查中的修改(Art. 123(2) EPC)主要條款：不能超出提交時(shí)申請(qǐng)文件的內(nèi)容不接受的修改引入了沒(méi)有披露的特征引入或刪除了一個(gè)披露的特征,形成一個(gè)沒(méi)有披露的特征組合可接受的修改修改為已披露的特征組合，甚至可以擴(kuò)大范圍！從組合中刪除非實(shí)質(zhì)性特征 (cf. G1/93)例外:未披露的放棄通過(guò)在先權(quán)利或由于意外而恢復(fù)新穎性(Art. 54(3) 刪除不可專(zhuān)利的主題(道德, 公共秩序, 醫(yī)療方法)細(xì)則137(4): 申請(qǐng)須在以下基礎(chǔ)上針對(duì)原始申請(qǐng)，足夠的指示，如果不必進(jìn)一步查看 Opportunities to

28、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修改時(shí)機(jī)(Rule 137)僅當(dāng)請(qǐng)求實(shí)質(zhì)審查時(shí)的修改（答復(fù)依據(jù)Rule 70a或 Rule 161的審查意見(jiàn)）在提交到ESR期間不能修改未經(jīng)審查部門(mén)同意不能做進(jìn)一步修改提交分案申請(qǐng)Divisional applications (Art. 76) When