欧洲专利公约下申请流程EPC–processingofanapplication.ppt

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1、EPC Processing of an applicationAnders 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STOPPCTEPCNUSCNUSEP0 M12 M18 MISR+WOChapter II?22 MGrantGrantR 71(3)OppositionValidationSEGBPLNational FilingCN/SE/etc.30 M1a OA1a replyPublicationPriority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

2、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.75/78/80Search Art.92Formalities Art.90 Publication Art.93Examination Art.94Refusal 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

3、 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 priorityRepresentationIn most c

4、ases 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)Drawing up the European search report Art.92Extended European s

5、earch report(EESR)ESR and opinion Plurality of independent claimsIncomplete search partial or no searchLack of unityPublication of search reportTriggers request for examinationDesignation 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 20022012R 62a Appl

6、ications 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 claim is not appropriate.An application

7、 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

8、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

9、 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 yo

10、u 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

11、 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 fee

12、s paid will be refunded on request if it emerges during examination proceedings that the Search divisions 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 applicationTechnical

13、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 technical preparationsInvalid publication does not

14、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

15、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 ApplicationRequest for examination:Up to six months after the date on which the publication of the search report is mentionedThe applicant is given an opportunity to comment the EESR

16、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

17、 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 will get a 2 month time limit to file:a)search resultsb)stat

18、ement of non-availabilityIf 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 ApplicationThe Examining

19、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 expects a positive outcomeAn applicant may however rece

20、ive 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 procedureRule 71(3)communication,i.e.the”intention to grant”under Art.97(1)EPCInvitation to pay fee for grant and publishingSubmit translations

21、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 grantRule 71(3)4 MArt.97(1)Publ.of B13 MDEFRSE授权程序基于Rule 71(3)的审查意

22、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 MArt.97(1)Publ.of B13 MDEFRSERefusal 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

23、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 proceedings when responding to office actionsEliminates risk of a direct refus

24、al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 acceptedIntroduction of a non-disclosed feature

25、Introduction 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(cf.G1/93)Exceptions:Non-disclosed disclaimers Restore novelty over a prior right(Art

26、.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 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

27、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 R

28、ule 161)No amendment between filing and ESRNo further amendment without the consent of the Examining divisionFile 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 20022012Divisional applications(Art.76)When to fileUses:Respond to unity bjectionPost

29、pone decision to protect second invention(but equal cost as if two applications had been filed initially)Prolong uncertaintyTwo-year window to file a divisional(Rule 36(1)Clock starts after first Office action or Intention to grantClock starts again when unity objection is raisedClock starts again w

30、hen 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 ConditionsClaims must not go beyond content of parent application as filedSimilar 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