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EPO Exam Guide - 1
EPO Exam Guide - 1
epi‐CEIPI STUDY GUIDE
Structure of the epi‐CEIPI Modules
with key topics
June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
epi‐CEIPI MODULES
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
A General Introduction
A1 Introduction to intellectual Intellectual property rights
1h property law − Copyrights
− Trademarks
− Patents
− Industrial designs
− Trade secrets
Economic growth
A2 The patent and other National patents
0.5h rights to protect inventions Regional patents
International applications
B Introduction to European Patent Law
B1 Introduction to the EPC EPC as a multilateral treaty
1h Autonomous legal system for granting
European patents
Bundle of European patents
B2 Interpretation of the EPC Preamble, Art. 150(2), 164, 177 Rules for interpretation
2h EPC Vienna Convention
− Good faith
Vienna Convention Art. 31‐32 Languages of the Convention
B3 Institutional provisions Art. 1‐13, 15‐24, 25, 26‐50, 166, European Patent Organisation (EPOrg)
3h 169, 170‐176, 178 EPC − Administrative Council and its competence
− European Patent Office (EPO)
Rules 8‐13 EPC Departments of the EPO and their
responsibilities
Protocol on Centralisation − Delegation to formalities officers
Protocol on Privileges and − Technical opinion
Immunities Independence of the boards of appeal
Protocol on the Staff − Exclusion and objection
Complement − Partiality in departments of first instance
Financial provisions
Accession to the EPC
Revision of the EPC (1991, 2000)
− Transitional provisions
2 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
B4 Languages and translations Art. 14, 65, 70 EPC Official languages of the EPO
3h Filing a European patent application and
Rules 3‐7, 36(2), 40(3) EPC translation
Language of application filed by reference
[PCT Rule 12] Language of divisional application
Language of the proceedings
Filing further documents and translations
Fee reduction
Publications of the EPO
Entries in the European Patent Register
Languages in written and oral proceedings
Language of publication of the European
patent application and patent
Authentic text of the application or patent
[Basic language provisions in the PCT]
3 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
C Patentability
C1 Patentable and Art. 52, 57 EPC Patentable inventions
3h non‐patentable inventions; Definition of invention
Industrial application Rule 42(1)(f) EPC Technical character
− Contribution approach
Art. 27 TRIPs Agreement Discoveries; aesthetic creations;
presentations of information
Mathematical methods
Computer programs
Methods of doing business
− Exclusion of subject‐matter "as such"
Industrial application
− Industry
− Manufacturability
− Gene sequences
C2 State of the art Art. 54(2), (3), 55, 89 EPC State of the art
4h Rule 25 EPC Admissible prior art
− Availability
Art. 153(3), (4), (5) EPC o Public
Rule 165 EPC o Secrecy
− Means of disclosure ‐ when available
[From EPC 1973: Art. 54(4), o Oral disclosure
Rules 23a and 87] transitional o Internet disclosure
provisions o Public prior use
o Accessibility and analysability
− Disclosure: explicit ‐ implicit
European prior rights
− Euro‐PCT application as prior right
Effect of priority date
Non‐prejudicial disclosures
− Evident abuse
− International exhibition and certificate
4 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
C5 Inventive step Art. 56 EPC Person skilled in the art
2×3h Common general knowledge
Technical field
Problem‐solution approach
Combining teachings
Secondary indications
Partial problems
Surprising effect
Non‐technical feature
Chemical claims
Inventive step attack and defence
C6 Unity; disclosure; claims Art. 82‐84 EPC Unity of invention
2×3h − Special technical features
Rules 30‐34, 42‐44 EPC − Markush grouping
Disclosure
− Clear and complete disclosure
− Sufficiency of disclosure
− Functional formulation
− Repeatability
Claims
− Clear; concise; supported by description
− Form of claims
− Claim categories
− Independent / dependent claims
− Disclaimers
− Product‐by‐process claims
− Use features
C7 Priority: Paris Convention; Preamble, Art. 87‐89 EPC Paris Convention
2×3h EPC Priority under the EPC
Rules 52‐54 EPC − Duly filed application
− Paris Convention State or WTO member
Paris Convention Art.4 − Person or his successor in title
− Transfer of priority right
− The same invention ‐ disclosure test
− "First" application
− Outcome of priority application
− Subsequent application becoming a first
application
Claiming priority
− Multiple priorities
− Effective dates of claims
− Disclosure in "previous application as a
whole", specific disclosure
Declaration of priority
− Addition and correction of priority claim
Priority document
− Filing of the priority document
− WIPO Digital Access Service
− Translation of priority document
Re‐establishment of rights in the priority
period
Effect of priority date
5 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
D Right to the European Patent
D1 Designation of the Art. 62, 81 EPC Rectification of designation inventor
0.5h inventor Publication of mention inventor
Rules 19‐21 EPC Waiver of right to be mentioned
E Rights conferred by the European Patent and by the Application
E1 Rights conferred by the Art. 2(2), 63‐65, 68, 70 EPC European Patent
1h European Patent − Term of patent
London Agreement on the − Rights conferred by patent
Application of Art.65 EPC o Protection of product directly obtained
by process
Paris Convention Art. 5quater − London Agreement
− Effect of revocation or limitation
− Authentic text of patent
− Effect of narrow translation
6 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
SUBSTANTIVE LAW
Subject Articles and Rules Key Topics
F The European Patent and Application as Object of Property
F Transfer and constitution Art. 71‐74 EPC Registering a transfer of a European patent
3h of rights; application
assignment and licences Rules 22‐24, 85 EPC Assignment of patent application
Licenses
− Exclusive licence
− Sub‐license
Law applicable
− European patent and application
G Information from the EPO
G1 Information to the public Art. 128 EPC File inspection
1h − Parts not open for file inspection
Rules 143‐147 EPC − Electronic file inspection
G2 Register of European Art. 127, 14(8), 20 EPC European Patent Register
1h patents − Entries in Register
Rule 143 EPC − Languages
− Competence Legal Division
G3 Periodical publications Art. 129, 14(7) EPC European Patent Bulletin
0.5h Official Journal of the EPO
G4 Exchanges of information Art. 130, 131(1), 132 EPC Exchange of information and publications
0.5h between authorities Rules 148‐149 EPC between EPO and central industrial property
offices and inter‐governmental organisations
Art. 131(2) EPC Legal cooperation between EPO and courts
Rule 150 EPC or national authorities
7 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
H Procedure
H1 General introduction to Substantive law versus procedural law
1h procedure before EPO Overview EPC procedure
H2 The European patent Art. 78, 79, 85, 118 EPC Content application
2h application Filing, search and page fee
Rules 41‐43, 45‐50 EPC Request‐for‐grant form
Claims fees
Drawings
Abstract
Prohibited matter
H3 Filing the application; Art. 75‐77, 80, 90 EPC Filing a European patent application
2×3h accordance of a date of − Where to file
filing and formalities Rules 1‐2, 25, 31‐34, 35‐40, o EPO filing offices
examination 52‐54, 55‐60, 152 EPC o National offices
− Why/how to file
− Filing a divisional application
o Filing, search and divisional fee
Accordance of date of filing
− Invitation to correct deficiencies
− Consequences
Missing parts of description or missing
drawings
− Re‐dating of the application
− Missing parts based on priority
− Consequence of non‐compliance
Examination as to formal requirements
− Translation of the application
− Request for grant
− Claims
− Abstract
− Filing and search fee
− Designation of inventor
− Priority claim and documents
− Representation
− Drawings
− Physical requirements
− Sequence listing
When does loss of rights ensue
Requirements for further documents
H4 Search, search opinion Art. 92 EPC Basis of the European search
2h and search report Start of the search
Rules 61‐66 EPC − Refund of the search fee
Extended European search report
− European search report
− Search opinion
− Transmittal to applicant
Multiple independent claims during search
Incomplete search
− Statement indicating subject‐matter to be
searched
− Consequence of non‐compliance
Lack of unity
− Partial search report
− Invitation to pay further search fee
Definitive content of the abstract
Legal effect of publication of search report
8 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
H5 Publication of the patent Art. 93 EPC When is the patent application published
1h application − Content and form of publication
Rules 67‐69 EPC − Types of publication
− Technical preparations
Information about publication
Withdrawal of the application
Deferred publication
Invalid publication
Legal effect of publication
9 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
H8 Decision to grant the Art. 97, 98 EPC Grant
3h European patent or to − Approval text
refuse the patent Rules 71(3)‐(7), 71a‐74 EPC − Bibliographic data
application − Amendments or corrections
− Crediting of fees
− Translation of priority document
− Mention of grant
− Patent specification
− Technical preparations and form of
publication
− Effects of grant
− Double patenting
Refusal of the patent application
− Reasoned decision
− Possibility of filing appeal
H9 Opposition; Art. 99‐105, 105a‐105c, 123(3) Notice of opposition
2×3h request for limitation or EPC − Who may file
revocation − Where to file
Rules 75, 76‐87, 88, 89, 90‐96 − Language
EPC − Payment opposition fee
o Refund of opposition fee
− Parties to opposition proceedings
o Inter‐partes proceedings
Extent of opposition
Grounds for opposition
− Separate grounds
Indication of facts and evidence
Transfer of status as opponent
Early certainty from opposition
Examination of opposition
− Notice of opposition deemed to have
been filed
− Admissibility of opposition
− Substantive examination of opposition
Decision in opposition proceedings
− Rejection of the opposition
− Revocation of the patent
− Patent maintained in amended form
− Interlocutory decision
Continuation of own motion
New specification
Apportionment of costs
Intervention
− Payment opposition fee
− Treated as opposition
− In appeal proceedings
Limitation/revocation procedure
− Subject of proceedings
− Competence of the examining division
− Requirements of the request for limitation
or revocation
− Precedence of opposition proceedings
− Decision on the request for limitation or
revocation
− Publication of the amended specification
of the European patent
10 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
H10 Appeal and petition for Art. 21, 22, 23, 106‐112, 112a Appealable decisions
3h Review EPC Suspensive effect
Who is entitled to appeal
Rules 97‐103, 104‐110 EPC − Adversely affected party
− Parties to appeal proceedings
Rules of Procedure of the Boards Prohibition of reformatio in peius
of Appeal, Art. 12‐15 Termination of appeal
Notice of appeal
− What to file
− Where to file
− Appeal fee
Statement setting out grounds for appeal
Interlocutory revision
Assessment of appeal
− Notice of appeal deemed to have been
filed
− Admissibility of appeal
− Substantive examination of appeal
Decision of board of appeal
− Binding nature
Reimbursement of the appeal fee
− Appeal deemed not to have been filed
− Substantial procedural violation
− Withdrawal of appeal
Rules of Procedure of the Boards of Appeal
Enlarged Board of Appeal
− Referral by board of appeal: decision
o Binding nature
− Referral by EPO President: opinion
Petition for Review by the Enlarged Board of
Appeal
− Fundamental procedural defects
− Obligation to raise objections during
appeal proceedings
− Contents of the petition for review
− Examination of the petition
− Procedure
− Reimbursement of the fee for petitions
H11 Common provisions Art. 113‐119, 125 EPC Decisions
3h governing procedure − Right to be heard
Rules 4, 111, 113, 114, 115‐116, − Text agreed by applicant/proprietor
117‐124, 125‐130 EPC Examination by the EPO of its own motion
Observations by third parties
Oral proceedings
− Video conference
− Handwritten amendments
Taking of evidence
Unity of application/patent
Notification
− Postal services
− Means of electronic communication
Reference to general principles
11 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
H12 Periods Art. 120, 51(2) EPC Periods
3h − Calculation of periods
Rules 131‐134, 78(1), 142 EPC Periods specified by the EPO
− Extension upon request
J 4/91 Late receipt of documents
Extension of periods
Interruption of periods
− Interruption of proceedings
− Comparison with stay of proceedings
H13 Further processing and Art. 121, 122 EPC Loss of rights communication
3h re‐establishment of − Application for decision
rights Rules 112, 135, 136 EPC Further processing
− Requirements
− Periods exempt from further processing
Re‐establishment of rights
− Requirements
− Cause of non‐compliance and its removal
− All due care
− Periods exempt from re‐establishment of
rights
H14 Fees Art. 14(4), 33(2)(d), 39(1), 51, Fees for applications
3h 78(2), 79(2), 86, 99(1), 105a(1), Renewal fees
108, 112a(4), 135(3), 141 EPC − Computing patent years
− Renewal fee for 3rd year
Rules 6(3)‐(7), 36(3)‐(4), 37(2), − Courtesy service regarding renewal fees
38‐39, 45, 51, 64(2), 71, 71a(6), − Divisional and Art. 61(1)(b) applications
82(2), 88(3), 89(2), 103, 135(1), Rules relating to fees
136(1), 162(3) EPC − Effecting payment
− Fail‐safe arrangement
Rules relating to Fees − Insufficient payment
Arrangements for Deposit − Refund of fees
Accounts (ADA) − Reduction of fees
Arrangements for the Automatic Deposit accounts
Debiting Procedure (AAD) − Replenishment / effective date
Automatic debiting
− Excluded fees
I/J Revocation and national rights
I National revocation Art. 2(2), 138, 139 EPC Grounds for revocation
1h Proceedings for revocation
Partial revocation
12 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PROCEDURAL LAW
Subject Articles and Rules Key Topics
K Unitary Patent Regulations and other agreements
K1 Special agreements Art. 142‐149a EPC Unitary patent in Switzerland and
1h Liechtenstein
Enhanced cooperation amongst EU States in
relation to unitary patent protection
K2 Unitary Patent Unitary Patent Regulations Entry into force
1.5h Regulations (Reg 1257 and Transl. Arr.) Request for unitary effect
and implementing regulations No double protection
(in particular UPR) Common provisions
Territorial extent (States, overseas)
13 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PATENT COOPERATION TREATY
Subject Articles and Rules Key Topics
L The Patent Cooperation Treaty
L1 Introduction PCT and PCT Art. 1, 2, 9, 10, 27(7), 43‐45, Structure of the PCT
3h common provisions 49, 53, 55, 58 International phase / national phase
General articles and rules
PCT Rules 2, 79‐82, 82quater, 83, − Definition of application
90, 90bis, 91, 92, 94 − Definition of priority date
− Definition of national Office
− Applicant
− Receiving Office
− Seeking certain kinds of protection
− Seeking two kinds of protection
− Regional patent treaties
o Closing national route
− Right to practice before international
authorities
− Assembly
− International Bureau
− Time limits
o 7‐day rule for late delivered documents
o Extension of time limits
o Excuse of delay in meeting time limits
− Irregularities in the mail service
− Agents and common representatives
− Obvious errors in documents
− Correspondence
− Withdrawals
− Access to files
L2 International application, PCT Art. 3‐14 Filing an international application
3h international filing date − Request
and formalities PCT Rules 3‐11, 12‐13ter, − Applicant
examination, 14‐16bis, 17, 18, 19‐23, 24‐26, − Where to file
EPO as receiving Office 26bis, 26ter, 27‐32, 92bis − Languages
− Agent
Art. 150, 151 EPC − Inventor
− Signature
Rule 157 EPC − Fees
− Designation of States
− Priority
International filing date
− Right to file international application
− Procedure for correction
− Filing missing elements or missing parts
− Erroneously filed elements and parts
− Effect of international filing date
Defects in international application
− Procedure for correction
EPO as receiving Office
− Application of the PCT to the EPC
− Fees when filing an international
application
− Correction of erroneously filed elements
and parts
14 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PATENT COOPERATION TREATY
Subject Articles and Rules Key Topics
L3 International search, PCT Art. 15‐19, 20‐30, 31‐38 International search
3h EPO as ISA; − Competent ISA
supplementary PCT Rules 33‐45, 45bis, 46, 48, − Subject‐matter not searched
international search, 53‐78, 94 − Relevant prior art
EPO as SISA; o Oral disclosure
international publication Art. 152 EPC − Lack of unity and protest procedure
and − International search report (ISR)
international preliminary Rule 158 EPC − Written opinion of ISA (WO‐ISA)
examination, − Filing amendments of the claims
EPO as IPEA − IPRP (Chapter I)
EPO as ISA
− PCT Direct service
− Subject‐matter not searched
− Lack of unity and protest procedure
− Refund of search fee
International publication
− Languages of publication
− Contents publication
− PCT Gazette
− Preventing/postponing publication
− Technical preparations
− Provisional protection
International publication ‐ EPO as
designated/elected Office
− Provisional protection
Supplementary international search
− Supplementary search request
− Supplementary search handling fee
− Supplementary search fee
− Correction of defects
− Start, basis and scope
− Unity of invention
o Review of opinion of SISA
− Supplementary international search
report
o Explanations PCT R.45bis.7(e)
o Transmittal to applicant
− ISA competent to carry out supplementary
international search (SISA)
EPO as SISA
− Refund of supplementary search fee
− Subject‐matter not searched
− Non‐unity and review
International preliminary examination
− Filing demand and fee payment
− Competent IPEA
− Written opinion of IPEA
− Response to written opinion
− Amendment
− Lack of unity and protest procedure
− Subject‐matter not searched
− IPER = IPRP (Chapter II)
EPO as IPEA
− Subject‐matter not searched
− Non‐unity and protest procedure
− Filing amendments
− Consultation by telephone
15 June 2021
epi‐CEIPI STUDY GUIDE Basic Training in European Patent Law
PATENT COOPERATION TREATY
Subject Articles and Rules Key Topics
L4 National phase, PCT Art. 22‐25, 27, 28, 39‐41, National requirements
3h regional entry before the 45(1), 48 Processing prohibition
EPO as designated/ − Early entry on express request of applicant
elected Office and PCT Rules 47, 49‐50, 51‐52, 74, Patent Prosecution Highway
Euro‐PCT application 76, 82bis Amendment of the international application
before designated/elected Offices
Art. 150, 153 EPC Communication to designated/elected
Offices
Rules 159‐165 EPC Acts for entry into national phase
− Period for entry
− Translation international application
− Fee payment
− Indication of inventor
− Priority documents
− Representation
− Review and excuse procedure
o EPO: examining division competent to
take decisions
EPO as designated/elected Office
− Predominance of PCT over EPC
− Acts for entry into EP regional phase
o Translation
o Filing and page fee
o Designation fee
o Search fee for supplementary European
search
o Request for examination
o Renewal fees
− Consequences of non‐compliance
o Further processing
− Amendment of the Euro‐PCT application
o Mandatory response to WO‐ISA, IPER or
explanations
− Claims fees
− Examination of formal requirements
o Designation of inventor
o Priority claim and document
o Sequence listing
o Address/nationality of applicant
o Representation
− Unity of invention and further searches
− Euro‐PCT application as prior right
− Substantive examination
− Inspection of files
16 June 2021