Preface V Notes on the Use of this Book VII Contents-Summary IX Table of Contents XI Literature XVII Internet Links XIX Abbreviations XXI 1 General Introduction 1 2 General Procedural Matters and Principles 25 3 The Filing of a European Patent Application 57 4 Examination of the European Patent Application 89 5 Limitation/Revocation Proceedings 111 6 Opposition Proceedings 121 7 Appeal Proceedings 137 8 Answers to the Questions 155 9 Annexes 165 Index EN 217 Index DE 231 Index FR 247
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Preface V Notes on the Use of this Book VII Contents-Summary IX Table of Contents XI Literature XVII Internet Links XIX Abbreviations XXI 1 General Introduction 1 1.1 Main Steps and Procedural Elements in IPR Generation and Maintenance 1 1.2 General Types of Prosecution 3 1.3 The Principle of Territoriality and "ways round it" 5 1.3.1 The Paris Convention 5 1.3.2 Patent Families 9 1.3.3 International IP Systems and Treaties 9 a) Procedural Integration 9 b) "Füll" Integration 11 c) Harmonizations and Integrations in the Patent Field 12 1.4 The European Patent Convention (EPC) and the Contracting States . . . 19 1.5 The European Patent Office (EPO) 22 2 General Procedural Matters and Principles 25 2.1 General Principles of the Proceedings 25 2.1.1 The Right to be Heard, Oral Proceedings 25 2.1.2 Examination by the EPO of its Own Motion and Observations by
Third Parties 26 2.1.3 Principle of Equal Treatment 28 2.1.4 Principle of Good Faith 28 2.2 Languages 29 2.3 Representation 31 2.4 Time Limits and Legal Remedies 33 2.4.1 Calculation of Time Limits 34
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2.4.2 Extension of Time Limits by Law 35 2.4.3 Stay and Interruption of Proceedings and Corresponding Time Limits 36 2.4.4 Observation of Time Limits 36 2.4.5 Legal Remedies in Case of Non-Observation of Time Limits 38 a) Further Processing 38 b) Re-establishment of Rights (Restitutio in integrum) 39 c) Previous Legal Remedies under the EPC 1973 42 2 5 Amendments and Corrections 44
2.5.1 Amendments to the European Patent Application and the European Patent 44 2.5.2 Correction of Errors 47 2.6 Conversion of the European Patent Application 49 2.7 Deemed Withdrawal, Refusal, Revocation, Renunciation 50 2.7.1 Deemed Withdrawal of an Application 50 2.7.2 Refusal of an Application 51 2.7.3 Revocation of a Patent 52 2.7.4 Renunciation 52 2.8 Fees and Rules Relating to Fees 53 2.8.1 Payment of Fees 53 2.8.2 Effective Date of Payment 53 2.8.3 Observation of Time Limits for Payments 54 2.8.4 Refund of Fees and Payments 54 2.9 The European Patent Register and Access to Files 55 3 The Filing of a European Patent Application 57 3.1 Applicant 57 3.1.1 Open System, Free Access 57 3.1.2 Applicant and Inventor 58 3.2 Filing Offices •. 59 3.2.1 EPO Filing Offices and National Filing Offices 59 3.2.2 Receipt Theory 60 3.2.3 Forwarding of the Application by the National Filing Office 60 3.3 Form of the Application 61 3.3.1 InWriting 61 3.3.2 Language of the Proceedings and Authentic Text 62
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3.4 Filing Documents 65 3.4.1 General Requirements 65 3.4.2 Special Requirements in Certain Technical Fields 65 a) Biotechnological Inventions 65 b) Applications Relating to Nucleotide and Amino Acid Sequences. 66 3.5 Priority 67 3.5.1 Type and State of the Previous Application 67 3.5.2 Entitlement to Claim Priority, Applicant or Successor in Title 68 3.5.3 Priority Time Limit and "First Application" 68 3.5.4 Formal Aspects of Claiming Priority 69 3.5.5 Substantive Aspects of Claiming Priority 70 3.5.6 Effect of the Priority Right 72 3.6 Designations and Extensions 73 3.6.1 Designating Contracting States 73 3.6.2 Extension to Extension States 76 3.7 Fees Due on Filing 77 3.7.1 Filing and Search Fee 77 3.7.2 Claims Fees 78 3.8 Divisional Applications 79 3.8.1 General Aspects 79 3.8.2 Specific Conditions and Requirements 80 3.9 Date of Filing and Effects of the Application 81 3.10 Euro-PCT Applications 83 3.10.1 General Aspects 83 3.10.2 EPO as Designated or Elected Office 84 3.10.3 Time Limit and Steps for Entry into the Regional Phase 85 4 Examination of the European Patent Application 89 4.1 Examination on Filing and Examination as to Formal Requirements . . . 89 4.1.1 The Receiving Section 89 4.1.2 Examination on Filing 90 4.1.3 Examination as to Formal Requirements 91 4.2 The European Search Report 92 4.2.1 Drawing up and Transmittal of the European Search Report 93 4.2.2 Lack of Unity of the Application 94
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4.3 Publication of the European Application 96 4.3.1 Types of Publications 97 4.3.2 Publication of the European Search Report 97 4.3.3 Provisional Protection after Publication 98 4.3.4 Preventing Publication 98 4.4 Examination of the Application 99 4.4.1 The Request for Examination and the Examination Fee 99 4.4.2 Procedure and Formal Aspects of Substantive Examination, Oral
Proceedings 100 4.4.3 Observations by Third Parties 101 4.5 Grant of the European Patent Application 101 4.5.1 General Aspects 101 4.5.2 Termination of the Examination and Grant 102 4.6 Transition into National Phases 104 4.6.1 General Aspects 104 4.6.2 Publication of the Mention of the Grant as Interface 105 4.6.3 Filing of Translations 105 4.6.4 The London Agreement 106 4.6.5 Renewal Fees 107 5 Limitation/Revocation Proceedings 111 5.1 General Aspects 111 5.2 Time Limit and Fee 112 5.3 Precedence of Opposition 112 5.4 The Request for Limitation or Revocation 113 5.5 Formal Examination of the Request 114 5.6 Rejection of the Request for Inadmissibility 115 5.7 Decision on Request for Revocation 115 5.8 Substantive Examination and Decision on the Request for Limitation . . 116 5.9 Publication of the Decision and of the Amended European Patent
Specification 118 5.10 Bringing the National Phases into Conformity with the Limited Patent. 118 6 Opposition Proceedings 121 6.1 The General Nature of Opposition Proceedings 121 6.2 Grounds and Extent of Opposition 122 6.2.1 The Grounds of Opposition 122
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6.2.2 The Extent of an Opposition 123 6.3 The Filing of an Opposition and Intervention into Opposition Proceedings 124 6.3.1 Entitlement to Oppose a Patent 124 6.3.2 Opposition Time Limit and Opposition Fee 125 6.3.3 Notice of Opposition 125 6.3.4 Parties to the Opposition Proceedings 126 6.3.5 Intervention into the Opposition Proceedings 127 6.4 Opposition Proceedings and Decision of the Opposition Division 128 6.4.1 Opposition Divisions 128 6.4.2 Formal Examination of the Opposition, Admissibility 128 6.4.3 Substantive Examination of an Opposition, Allowability 130 a) Amendments During Opposition Proceedings 132 b) Oral Proceedings During Opposition 132 6.4.4 Revocation or Maintenance of the European Patent 132 6.4.5 Impact of Entitlement Proceedings on Opposition Proceedings 134 6.4.6 Bringing the National Phases into Conformity with the Patent as
Maintained in Amended Form 134 6.4.7 Apportionment of Costs in Opposition 134 Appeal Proceedings 137 7.1 Appealable Decisions 137 7.1.1 Boards of Appeal as Second Instance 137 7.1.2 Decisions which can be Appealed 138 7.2 Entitlement to Appeal 139 7.2.1 "Adversely affected" 139 7.2.2 Parties to the First Instance Proceedings 140 7.3 Filing of the Appeal 141 7.3.1 Filing of the Notice of Appeal and Payment of the Appeal Fee 141 7.3.2 Filing of the Statement of Grounds of the Appeal 142 7.3.3 Suspensive Effect of the Appeal 142 7.4 Appeal Proceedings and Decision of the Appeal 143 7.4.1 Admissibility of the Appeal 143 7.4.2 Interlocutory Revision 144 7.4.3 Substantive Examination of the Appeal 145 7.4.4 Decision of the Boards of Appeal 147
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7A3 Remittal to the First Instance 147 7.4.6 Refund of the Appeal Fee 148 7.5 The Enlarged Board of Appeal 149 7.5.1 General Aspects 149 7.5.2 Referral by a Board of Appeal 150 7.5.3 Referral by the President of the EPO 150 7.5.4 Review of Decisions of the Boards of Appeal 151 a) General Aspects 151 b) Grounds for Review 151 c) Filing of the Petition for Review, Form, Time Limit 152 d) Examination of the Petition for Review, Rejection or Reopening
of Second Instance Proceedings 153 e) Effect of the Review 154 8 Answers to the Questions 155 9 Annexes 165 9.1 Cross-Reference Index EPC 1973/EPC 2000 165 9.2 Transitional Provisions EPC 2000 170 9.3 Table on the Transitional Provisions of the EPC 2000 172 9.4 Example of an Extract from the European Patent Register 176 9.5 Example of an Electronic File 178 9.6 Request for Grant Form (Form 1001, see also www.epo.org) 179 9.7 Form for Entering the Regional Phase (Form 1200, see also www.epo.org) 187 9.8 Example of a Published European Application AI 194 9.9 Example of a Published European Application AI with a reference 195 9.10 Example of a Published European Application A2 and Subsequent A 3 . . . 196 9.11 Example of a Published European Patent Bl (partial reproduction) 198 9.12 The London Agreement 203 9.13 Form for Requesting Limitation or Revocation (Form 2380, see also
www.epo.org) 208 9.14 Form for Filing an Opposition (Form 2300, see also www.epo.org) 211 9.15 Example of a Published Amended European Patent B2 215 9.16 Example of a Limited European Patent B3 216 Index EN 217 Index DE 231 Index FR 247
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