专利文件重点-The-life-of-a-file-Migual-Herrera-EN.ppt

2024/5/25周六The European Patent OfficeIntroductiontotheEPOandtheEuropeanpatentsystemMiguelHerreraDirectorDirectorate2.3.05,MedicalTechnologyDG1,OperationsShanghai-Beijing-Shenzhen14-22April20102/71OutlineI.IntroductiontotheEuropeanPatentSystemII.OverviewoftheEuropeanPatentGrantProcedure3/71OutlineI.IntroductiontotheEuropeanPatentSystemII.OverviewoftheEuropeanPatentGrantProcedure2024/5/25周六专利是什么？专利是什么？Legally:Apatentgivesitsownertherighttopreventothersfromcommerciallyusinghisinvention.However,itdoesnotgiveitsownertherighttomakeuseofhisinvention.Practically:Description:enablesaskilledpersontoreproducetheinvention+Claims:minimalnumberoftechnicalfeaturesdefiningtheinventiondeterminethescopeoflegalprotection2024/5/25周六Patents:esotery or economics?EuropeanPatentEP-B-0904717,grantedJuly2001August2006:patentprotectionforcoffeepouch(DouweEgberts;SaraLee)andpouchholder(Philips)revokedbyEPOBoardofAppeal2024/5/25周六Patents:esotery or economics(contd)?EP-A-0346817(1989):inventor:Dr.PeterGrnberg;KernforschungsanlageJlich(DE)MlicensefeesfromIBM2006:EuropeaninventoroftheYear09October2007:NobelPrizePhysicsMagneticfieldsensorwiththinferromagneticlayer2024/5/25周六What is an invention?Europeanpatentsshallbegrantedforanyinventions,inallfieldsoftechnology,provided(Art.52(1)EPC)Inventionshouldbesuchthatitcanbecarriedoutbyaskilledperson(Art.83EPC)Inventionmustbeofaconcreteandtechnicalcharacter(R.42(1)(a)&(c)EPC;Guidelines,C-IV,2.1)2024/5/25周六Patentability criteriaTobepatentable,aninventionmusthavetechnicalcharacterandcontributetothestateoftheart.Inventionshouldbesuchthatitcanbecarriedoutbyaskilledperson(Art.83EPC)Itmaybeaproduct,aproductuse,aprocessoranapparatus,forexample.Threemaincriteriaforpatentability:noveltyinventivestepindustrialapplication2024/5/25周六What is not considered an invention?aestheticcreationsschemes,rulesandmethodsforperformingmentalacts,playinggamesordoingbusiness,programsforcomputers;discoveries,scientifictheoriesmathematicalmethodspresentationofinformationArt.52(2)EPC2024/5/25周六What is not patentable?inventionsagainstmoralityplant or animal varieties;biologicalprocessesfortheproductionofplantsoranimalsmedicalmethods:methodsperformedbywayofsurgeryortherapy,anddiagnosticmethods(practisedonthehumanoranimalbody)reason:medicalpractitionershouldnotbehinderedbypatentswhentreatingpatientspatentableinUS!Art.53EPC2024/5/25周六Obtaining a patentNationalroute:fileapplicationwithnationalpatentofficeprocedures/patentlaw:statedependent!costissueifprotectioninseveralstatesdesiredEuropeanroute(viaEPO):centralisedapplicationprocedurelegalbasis:EuropeanPatentConvention(EPC,1977)protectionin39countries(statusSeptember2008)withonesinglefilingatgrant:bundleofnationalpatents(translations+fees)Internationalroute(PCT):protectionin139ContractingStates(statusSeptember2008)merelycentralisedapplicationprocedure:noworldpatentmax.30monthsafterdateoffiling/priority:entryintoroute1or22024/5/25周六What advantages doesa European patent have?Unitary protection standards in the contracting statesOneapplication,onelanguage“Alacarte”marketbydesignationofcountriesCost effectiveCostslessthanthreeseparatenationalpatentsStrongThoroughsearch=60milliondocumentsSubstantiveexamination=soundlegalprotection13/71OutlineI.IntroductiontotheEuropeanPatentSystemII.OverviewoftheEuropeanPatentGrantProcedure2024/5/25周六The European patent grant procedureFilingtheapplicationExaminationonfiling/formalitiesexaminationSearchSubstantiveexamination(grantofpatentorrefusalofapplication)Opposition(insomecases)Appeal(insomecases)Publicationofapplicationandsearchreport2024/5/25周六The grant procedure at a glanceSearchandsearchreporttogetherwithapreliminaryopiniononpatentabilityEuropeanpatentapplicationFilingandformalitiesexaminationPublicationofthepatentspecificationApplicantEuropeanPatentOfficePublicSubstantiveexaminationGrantofaEuropeanpatentOppositionproceedingsAppealproceedingsLimitationorrevocationproceedingsRefusaloftheapplicationValidationinthedesignatedstatesPublicationoftheapplicationandsearchreportObservationsbythirdpartiespossible(Article115EPC)Review2024/5/25周六OverviewAnapplicationforaEuropeanpatententerstheprocedurewhenitisfiledattheoffice.Duringthisfiling phase:Adateoffilingisassigned.Formalrequirementstoconstituteaproperapplicationarechecked.Oncetheapplicationcomplieswiththefilingrequirements,itentersthesearch phase,where:AsearchforPriorArtisperformed.ASearchReportandaWrittenOpinionareissued.2024/5/25周六OverviewTheExamination phaseismeanttoassessallsubstantiveissuesoftheapplicationandshapesthecontentsoftheapplicationintoitsgrantingform.orarefusalisissued.Post-grantproceduresareOpposition,wherethirdpartiesmaycontestagrantedpatent,Revocation and Limitation,wherethepatentproprietormayrevokehis/herpatentorlimititsscope.EveryadversedecisionissubjecttoAppeal,toguaranteeatwo-instanceprocedure.2024/5/25周六The European patent grant procedureFiling the applicationExamination on filing/formalitiesexaminationSearchSubstantive examination(grant of patent or refusal of application)Opposition(in some cases)Appeal(in some cases)Publication of application and search report2024/5/25周六The grant procedure at a glanceSearchandsearchreporttogetherwithapreliminaryopiniononpatentabilityEuropeanpatentapplicationFilingandformalitiesexaminationPublicationofthepatentspecificationApplicantEuropeanPatentOfficePublicSubstantiveexaminationGrantofaEuropeanpatentOppositionproceedingsAppealproceedingsLimitationorrevocationproceedingsRefusaloftheapplicationValidationinthedesignatedstatesPublicationoftheapplicationandsearchreportObservationsbythirdpartiespossible(Article115EPC)Review2024/5/25周六statementthataEuropeanpatentissoughtinformationidentifyingtheapplicantdescriptionorareferencetoapreviouslyfiledapplication-NOclaimsnecessaryanylanguage(translationtobeprovidedwithin2months;R.6(1)EPC)NOdeclarationofpriorityA.14(2),80EPC;R.40,55EPCFormalities Examination:requirements for according a date of filing2024/5/25周六Formalities Examination:applications filed without claimsClaimsfiledafterdateoffilingarenotpartofapplicationasoriginallyfiledinsuchcaseclaimsmustbecheckedforaddedsubject-matter(A.123(2)EPC)-Potentiallynegativeconsequencesforsearchandexaminationofapplication2024/5/25周六Formalities Examinationrepresentationphysicalrequirementsofapplicationabstractrequestforgrantclaimtoprioritydesignationfeesdesignationofinventorfilingofdrawings2024/5/25周六Formalities Examination:AEuropeanpatentapplicationcanbeafirstfilingclaimpriorityofanationalapplicationfiledwithintheprevious12monthsbederivedfromaninternationalapplicationfiledunderthePatentCooperationTreaty(Euro-PCT-application)2024/5/25周六The grant procedure at a glanceFiling the applicationExamination on filing/formalitiesexaminationSearchSubstantive examination(grant of patent or refusal of application)Opposition(in some cases)Appeal(in some cases)Publication of application and search report2024/5/25周六The grant procedure at a glanceSearchandsearchreporttogetherwithapreliminaryopiniononpatentabilityEuropeanpatentapplicationFilingandformalitiesexaminationPublicationofthepatentspecificationApplicantEuropeanPatentOfficePublicSubstantiveexaminationGrantofaEuropeanpatentOppositionproceedingsAppealproceedingsLimitationorrevocationproceedingsRefusaloftheapplicationValidationinthedesignatedstatesPublicationoftheapplicationandsearchreportObservationsbythirdpartiespossible(Article115EPC)Review2024/5/25周六on-linesearchinoneormorecomputerizeddatabasesEPO-internaldatabasesexternalcommercialdatabasesEPOdigitallibrary(BNS):60milliondocumentsfromover70countriesEPOvirtuallibrary(EVL):6.000onlinejournals,books,encyclopediasSearch2024/5/25周六citesmostrelevant prior art documents:publicationdata(nameofapplicant/author,publicationdate)lettercode(X,Y,A)indicatingdegreeofrelevancemostpertinentpassagesinternationalclassificationcopiesofciteddocumentssenttoapplicantcontainsopinion on patentability ofclaimedinvention(EESR)specialprocedures:lackofunityincompletesearchcomplexapplicationsSearch Report2024/5/25周六Search Report2024/5/25周六European Search reportTheSearchReportincludesthecitationsofrelevantdocuments.Categoriesassigned(X,Y,.)definetherelevanceandtypeofcitationTheOpinionprovidesawrittenanalysisofthepatentabilityoftheapplication,basedontheciteddocuments.2024/5/25周六PublicationPatentapplicationsarepublishedsoonafter18monthsfromfilingorprioritydate.ThesearetheA-publications(Art.93EPC).Publicationofanapplicationinformsthepublicandprovidesprovisionalprotection(Art.67EPC);enablesthirdpartiestosubmitobservations(Art.115EPC).2024/5/25周六Published European patent application2024/5/25周六Published European patent application2024/5/25周六Published European patent application2024/5/25周六The European patent grant procedureFiling the applicationExamination on filing/formalitiesexaminationSearchSubstantive examination(grant of patent or refusal of application)Opposition(in some cases)Appeal(in some cases)Publication of application and search report2024/5/25周六The grant procedure at a glanceSearchandsearchreporttogetherwithapreliminaryopiniononpatentabilityEuropeanpatentapplicationFilingandformalitiesexaminationPublicationofthepatentspecificationApplicantEuropeanPatentOfficePublicSubstantiveexaminationGrantofaEuropeanpatentOppositionproceedingsAppealproceedingsLimitationorrevocationproceedingsRefusaloftheapplicationValidationinthedesignatedstatesPublicationoftheapplicationandsearchreportObservationsbythirdpartiespossible(Article115EPC)Review2024/5/25周六DoestheEuropeanpatentapplicationmeettherequirementsoftheEuropeanPatentConvention?(Art.94EPC)requestforsubstantiveexaminationbyapplicantwithin6monthsafterpublicationinEuropeanPatentBulletinexaminationfeeExaminingDivision:Firstmember:prosecutesthefileSecondmember:checksproceduralaspectsChairman:retainsoverallproceduralresponsibilitySubstantive examination2024/5/25周六The Examining Division Thecompletedivisionisresponsibleforeverydecision.Examinationisanex-parteprocedure:only theapplicantisinvolved.Thirdpartiesmayonlysubmitobservations2024/5/25周六Substantive examinationSubstantiveexaminationanalysescompliancewithEPCrequirements,itmainlydealswith:Howtheinventionisdisclosedanddefined:Cleardefinitionoftheprotectionsought(Art.84EPC).Sufficientdisclosureoftheinvention(Art.83EPC).Unityofinvention(Art.82EPC).Apatentmaybegrantedforaninventionwhichisisnew(Art.54EPC),involvesaninventive step(Art.56EPC),hasindustrial applicability(Art.57EPC),.andisnotexcludedfrompatentability(Art.52-53EPC).2024/5/25周六Substantive examinationTheserequirementsareexaminedusingthecitedpriorartasthedocumentationtosustainthearguments.Allobjectionsraised:mustbereasonedandsupportedwithevidence.Thereforetheexaminationcanhappen=onlyafterthesearchphase.2024/5/25周六Substantive examinationTheapplicantandtheexaminer(s)exchangewrittencommunicationsstatingobjectionsandarguments.Theapplicantmustalwaysbegiventheright to be heard:nodecisiononnon-discussedobjections.2024/5/25周六Europeanpatentsshallbegrantedforanyinventions,inallfieldsoftechnology,providedthattheyarenew,involveaninventive stepandaresusceptibleofindustrial application.Art.52(1)EPCSubstantive examination2024/5/25周六Aninventionisnewifitisnotpartofthestate of the art.Art.54(1)EPCThestateoftheartiseverythingavailabletothepublic,aswrittenororaldescription,byuse,orinanyotherway,before the filingoftheEuropeanpatentapplication.Art.54(2)EPCNovelty2024/5/25周六Assessment of NoveltyApplicationPrior ArtPrior ArtClaim 1Document 1Document 2Features:AAABBBcharacterisedbyCCDDEE2024/5/25周六Deviceforwateringplantshaving1.awatercontainingportion,2.ahandle,3.anopeningwithalidand4.aspoutABCDFNovelty:ExampleE2024/5/25周六Aninventionshallbeconsideredasinvolvinganinventivestepif,havingregardtothestateoftheart,itisnot obvious toapersonskilledintheart.Art.56EPC,firstsentence.创造性造性2024/5/25周六1.determinetheclosestpriorart2.determinethedistinguishingfeatures3.determinethetechnicaleffectsobtainedbythesefeatures4.definethetechnicalproblemtobesolved5.Answerthequestion:Startingfromtheclosestpriorartandfacingthistechnicalproblem,wouldapersonskilledintheartarriveattheclaimedsolution?Inventive Step in the EPO:the Problem-Solution Approach2024/5/25周六Inventive Step:ExampleClaim 1(asfiled)“Apairoftightswithabodyportioncharacterised in thatthepairoftightscomprisesthreelegportions.”Document 2 AleggarmentcomprisingtwoseparatestockingportionsDocument 1 Aconventionalpairoftightswithtwolegportions2024/5/25周六Inventive Step:exampleTheclosestpriorartisdescribedinD1Thedifferencebetweenclaim1andtheclosestpriorartistherefore:the provision of a spare leg portionThissuggeststhattheproblemsolvedbytheinventionis:to provide a pair of tights wherein a damaged leg portion can quickly be substituted.2024/5/25周六Inventive Step:example(cont.)e)IsthisproblemaddressedinD2?f)Yes,sotheskilledpersonwouldconsiderD2whensearchingthroughtheavailablepriorartforasolutiontotheproblemposed.g)However,D2providesadifferentsolutiontotheproblemthanthatsuggestedbyclaim1oftheapplication.h)Therefore,claim1involvesaninventivestep.2024/5/25周六Further requirements to patentabilityClarity(Art.84EPC)Amendments(Art.123(2)EPC)Unity(Art.82EPC)Sufficiencyofdisclosure(Art.83EPC)2024/5/25周六Substantive examination:communicating with the Applicantwrittencommunicationswithdeadlineforapplicantsreplyifno/latereply,deemedwithdrawntelephoneconsultationsinterviewsoralproceedings2024/5/25周六Grant or RefusalDecisionistakenbyallthreemembersoftheExaminingDivisionSubstantive Examination2024/5/25周六Final outcomeThe application meets the requirements of the EPC:+translationoftheclaims+paymentofgrantandpublishingfeesgrantOppositionperiodbeginsAdministrationgoesovertothenationaloffices(+Validation)The application does not meet the requirements of the EPC:refusalAdversedecisionmaybeappealed.2024/5/25周六Publication of European patentGrantedEuropeanpatentsarepublishedaftertheexaminationprocedure.ThesearetheB-publications(Art.98EPC).Publicationofthespecificationinformsthepublicanddefinesthegrantedexclusiveright(Art.68EPC);enablestheoppositionprocedure(Art.99EPC).2024/5/25周六The European patent grant procedureFiling the applicationExamination on filing/formalitiesexaminationSearchSubstantive examination(grant of patent or refusal of application)Opposition(in some cases)Appeal(in some cases)Publication of application and search report2024/5/25周六The grant procedure at a glanceSearchandsearchreporttogetherwithapreliminaryopiniononpatentabilityEuropeanpatentapplicationFilingandformalitiesexaminationPublicationofthepatentspecificationApplicantEuropeanPatentOfficePublicSubstantiveexaminationGrantofaEuropeanpatentOppositionproceedingsAppealproceedingsLimitationorrevocationproceedingsRefusaloftheapplicationValidationinthedesignatedstatesPublicationoftheapplicationandsearchreportObservationsbythirdpartiespossible(Article115EPC)Review2024/5/25周六Why opposition?Grant:Europeanpatentsplitsintoabundleofnationalpatentscentralisedattackagainstagrantedpatentinsteadofprocedurebeforenationalcourtgivespublicopportunitytochallengevalidityofpatents=costandtimeadvantage2024/5/25周六theoppositionprocedureisanindep