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PART IV – PROCEDURE UP TO GRANT

Overview

Preface
European Patent Convention
PREAMBLE
PART I – GENERAL AND INSTITUTIONAL PROVISIONS
Chapter I – General provisions
Article 1 – European law for the grant of patents
Article 2 – European patent
Article 3 – Territorial effect
Article 4 – European Patent Organisation
Chapter II – The European Patent Organisation
Article 5 – Legal status
Article 6 – Seat
Article 7 – Sub-offices of the European Patent Office
Article 8 – Privileges and immunities
Article 9 – Liability
Chapter III – The European Patent Office
Article 10 – Direction
Article 11 – Appointment of senior employees
Article 12 – Duties of office
Article 13 – Disputes between the Organisation and the employees of the European Patent Office
Article 14 – Languages of the European Patent Office
Article 15 – The departments charged with the procedure
[Article 16 – Receiving Section
Article 16 – Receiving Section
[Article 17 – Search Divisions
Article 17 – Search Divisions
[Article 18 – Examining Divisions
Article 18 – Examining Divisions
Article 19 – Opposition Divisions
Article 20 – Legal Division
Article 21 – Boards of Appeal
Article 22 – Enlarged Board of Appeal
Article 23 – Independence of the members of the Boards
Article 24 – Exclusion and objection
Article 25 – Technical opinion
Chapter IV – The Administrative Council
Article 26 – Membership
Article 27 – Chairmanship
Article 28 – Board
Article 29 – Meetings
Article 30 – Attendance of observers
Article 31 – Languages of the Administrative Council
Article 32 – Staff, premises and equipment
Article 33 – Competence of the Administrative Council in certain cases
Article 34 – Voting rights
Article 35 – Voting rules
Article 36 – Weighting of votes
Chapter V – Financial provisions
[Article 37 – Cover for expenditure
Article 37 – Budgetary funding
[Article 38 – The Organisation's own resources
Article 38 – The Organisation's own resources
Article 39 – Payments by the Contracting States in respect of renewal fees for European patents
Article 40 – Level of fees and payments – Special financial contributions
Article 41 – Advances
[Article 42 – Budget
Article 42 – Budget
Article 43 – Authorisation for expenditure
Article 44 – Appropriations for unforeseeable expenditure
Article 45 – Accounting period
Article 46 – Preparation and adoption of the budget
Article 47 – Provisional budget
Article 48 – Budget implementation
Article 49 – Auditing of accounts
[Article 50 – Financial Regulations
Article 50 – Financial Regulations
Article 51 – Rules relating to Fees
PART II – SUBSTANTIVE PATENT LAW
Chapter I – Patentability
Article 52 – Patentable inventions
Article 53 – Exceptions to patentability
Article 54 – Novelty
Article 55 – Non-prejudicial disclosures
Article 56 – Inventive step
Article 57 – Industrial application
Chapter II – Persons entitled to apply for and obtain European patents – Mention of the inventor
Article 58 – Entitlement to file a European patent application
Article 59 – Multiple applicants
Article 60 – Right to a European patent
Article 61 – European patent applications by persons not having the right to a European patent
Article 62 – Right of the inventor to be mentioned
Chapter III – Effects of the European patent and the European patent application
Article 63 – Term of the European patent
Article 64 – Rights conferred by a European patent
Article 65 – Translation of the specification of the European patent
Article 66 – Equivalence of European filing with national filing
Article 67 – Rights conferred by a European patent application after publication
Article 68 – Effect of revocation of the European patent
Article 69 – Extent of protection
Article 70 – Authentic text of a European patent application or European patent
Chapter IV – The European patent application as an object of property
Article 71 – Transfer and constitution of rights
Article 72 – Assignment
Article 73 – Contractual licensing
Article 74 – Law applicable
PART III – APPLICATION FOR EUROPEAN PATENTS
Chapter I – Filing and requirements of the European patent application
Article 75 – Filing of the European patent application
Article 76 – European divisional applications
Article 77 – Forwarding of European patent applications
Article 78 – Requirements of the European patent application
Article 79 – Designation of Contracting States
Article 80 – Date of filing
Article 81 – Designation of the inventor
Article 82 – Unity of invention
Article 83 – Disclosure of the invention
Article 84 – The claims
Article 85 – The abstract
Article 86 – Renewal fees for European patent applications
Chapter II – Priority
Article 87 – Priority right
Article 88 – Claiming priority
Article 89 – Effect of priority right
PART IV – PROCEDURE UP TO GRANT
Article 90 – Examination on filing
Article 91 – Examination as to formal requirements
Article 92 – The drawing up of the European search report
Article 93 – Publication of a European patent application
Article 94 – Request for examination
Article 95 – Extension of the period within which requests for examination may be filed
Article 96 – Examination of the European patent application
Article 97 – Refusal or grant
Article 98 – Publication of a specification of the European patent
PART V – OPPOSITION PROCEDURE
Article 99 – Opposition
Article 100 – Grounds for opposition
Article 101 – Examination of the opposition
Article 102 – Revocation or maintenance of the European patent
Article 103 – Publication of a new specification of the European patent
Article 104 – Costs
Article 105 – Intervention of the assumed infringer
PART VI – APPEALS PROCEDURE
Article 106 – Decisions subject to appeal
Article 107 – Persons entitled to appeal and to be parties to appeal proceedings
Article 108 – Time limit and form of appeal
Article 109 – Interlocutory revision
Article 110 – Examination of appeals
Article 111 – Decision in respect of appeals
Article 112 – Decision or opinion of the Enlarged Board of Appeal
PART VII – COMMON PROVISIONS
Chapter I – Common provisions governing procedure
Article 113 – Basis of decisions
Article 114 – Examination by the European Patent Office of its own motion
Article 115 – Observations by third parties
Article 116 – Oral proceedings
Article 117 – Taking of evidence
Article 118 – Unity of the European patent application or European patent
Article 119 – Notification
Article 120 – Time limits
Article 121 – Further processing of the European patent application
Article 122 – Restitutio in integrum
Article 123 – Amendments
Article 124 – Information concerning national patent applications
Article 125 – Reference to general principles
Article 126 – Termination of financial obligations
Chapter II – Information to the public or official authorities
Article 127 – Register of European Patents
Article 128 – Inspection of files
Article 129 – Periodical publications
Article 130 – Exchanges of information
Article 131 – Administrative and legal co-operation
Article 132 – Exchange of publications
Chapter III – Representation
Article 133 – General principles of representation
Article 134 – Professional representatives
PART VIII – IMPACT ON NATIONAL LAW
Chapter I – Conversion into a national patent application
Article 135 – Request for the application of national procedure
Article 136 – Submission and transmission of the request
Article 137 – Formal requirements for conversion
Chapter II – Revocation and prior rights
Article 138 – Grounds for revocation
Article 139 – Rights of earlier date or the same date
Chapter III – Miscellaneous effects
Article 140 – National utility models and utility certificates
Article 141 – Renewal fees for European patents
PART IX – SPECIAL AGREEMENTS
Article 142 – Unitary patents
Article 143 – Special departments of the European Patent Office
Article 144 – Representation before special departments
Article 145 – Select committee of the Administrative Council
Article 146 – Cover for expenditure for carrying out special tasks
Article 147 – Payments in respect of renewal fees for unitary patents
Article 148 – The European patent application as an object of property
Article 149 – Joint designation
PART X – INTERNATIONAL APPLICATION PURSUANT TO THE PATENT COOPERATION TREATY
Article 150 – Application of the Patent Cooperation Treaty
Article 151 – The European Patent Office as a receiving Office
Article 152 – Filing and transmittal of the international application
Article 153 – The European Patent Office as a designated Office
Article 154 – The European Patent Office as an International Searching Authority
Article 155 – The European Patent Office as an International Preliminary Examining Authority
Article 156 – The European Patent Office as an elected Office
Article 157 – International search report
Article 158 – Publication of the international application and its supply to the European Patent...
PART XI – TRANSITIONAL PROVISIONS
Article 159 – Administrative Council during a transitional period
Article 160 – Appointment of employees during a transitional period
Article 161 – First accounting period
Article 162 – Progressive expansion of the field of activity of the European Patent Office
Article 163 – Professional representatives during a transitional period
PART XII – FINAL PROVISIONS
Article 164 – Implementing Regulations and Protocols
Article 165 – Signature – Ratification
Article 166 – Accession
Article 167 – Reservations
Article 168 – Territorial field of application
Article 169 – Entry into force
Article 170 – Initial contribution
Article 171 – Duration of the Convention
Article 172 – Revision
Article 173 – Disputes between Contracting States
Article 174 – Denunciation
Article 175 – Preservation of acquired rights
Article 176 – Financial rights and obligations of a former Contracting State
Article 177 – Languages of the Convention
Article 178 – Transmission and notifications
Implementing Regulations
PART I – IMPLEMENTING REGULATIONS TO PART I OF THE CONVENTION
Chapter I – Languages of the European Patent Office
Rule 1 – Derogations from the provisions concerning the language of the proceedings in written...
Rule 2 – Derogations from the provisions concerning the language of the proceedings in oral...
Rule 3 – (deleted)
Rule 4 – Language of a European divisional application
Rule 5 – Certification of translations
Rule 6 – Time limits and reduction of fees
Rule 7 – Legal authenticity of the translation of the European patent application
Chapter II – Organisation of the European Patent Office
Rule 8 – Patent classification
Rule 9 – Allocation of duties to the departments of the first instance
Rule 10 – Presidium of the Boards of Appeal
Rule 11 – Business distribution scheme for the Enlarged Board of Appeal and adoption of its Rules of...
Rule 12 – Administrative structure of the European Patent Office
PART II – IMPLEMENTING REGULATIONS TO PART II OF THE CONVENTION
Chapter I – Procedure where the applicant or proprietor is not entitled
Rule 13 – Suspension of proceedings
Rule 14 – Limitation of the option to withdraw the European patent application
Rule 15 – Filing of a new European patent application by the person entitled to apply
Rule 16 – Partial transfer of right by virtue of a final decision
Chapter II – Mention of the inventor
Rule 17 – Designation of the inventor
Rule 18 – Publication of the mention of the inventor
Rule 19 – Rectification of the designation of an inventor
Chapter III – Registering transfers, licences and other rights
Rule 20 – Registering a transfer
Rule 21 – Registering of licences and other rights
Rule 22 – Special indications for the registration of a licence
Chapter IV – Certification of exhibition
Rule 23 – Certificate of exhibition
Chapter V – Prior European applications
Rule 23a – Prior application as state of the art
Chapter VI – Biotechnological inventions
Rule 23b – General and definitions
Rule 23c – Patentable biotechnological inventions
Rule 23d – Exceptions to patentability
Rule 23e – The human body and its elements
PART III – IMPLEMENTING REGULATIONS TO PART III OF THE CONVENTION
Chapter I – Filing of the European patent application
Rule 24 – General provisions
Rule 25 – Provisions for European divisional applications
Chapter II – Provisions governing the application
Rule 26 – Request for grant
Rule 27 – Content of the description
Rule 27a – Requirements of European patent applications relating to nucleotide and amino acid...
Rule 28 – Deposit of biological material
Rule 28a – New deposit of biological material
Rule 29 – Form and content of claims
Rule 30 – Unity of invention
Rule 31 – Claims incurring fees
Rule 32 – Form of the drawings
Rule 33 – Form and content of the abstract
Rule 34 – Prohibited matter
Rule 35 – General provisions governing the presentation of the application documents
Rule 36 – Documents filed subsequently
Chapter III – Renewal fees
Rule 37 – Payment of renewal fees
Chapter IV – Priority
Rule 38 – Declaration of priority and priority documents
Rule 38a – Issuing priority documents
PART IV – IMPLEMENTING REGULATIONS TO PART IV OF THE CONVENTION
Chapter I – Examination by the Receiving Section
Rule 39 – Communication following the examination on filing
Rule 40 – Examination for certain physical requirements
Rule 41 – Rectification of deficiencies in the application documents
Rule 42 – Subsequent identification of the inventor
Rule 43 – Late-filed or missing drawings
Chapter II – European search report
Rule 44 – Content of the European search report
Rule 44a – Extended European search report
Rule 45 – Incomplete search
Rule 46 – European search report where the invention lacks unity
Rule 47 – Definitive content of the abstract
Chapter III – Publication of the European patent application
Rule 48 – Technical preparations for publication
Rule 49 – Form of the publication of European patent applications and European search reports
Rule 50 – Information about publication
Chapter IV – Examination by the Examining Division
Rule 51 – Examination procedure
Rule 52 – Grant of the European patent to different applicants
Chapter V – The European patent specification
Rule 53 – Technical preparations for publication and form of the specification of the European...
Rule 54 – Certificate for a European patent
PART V – IMPLEMENTING REGULATIONS TO PART V OF THE CONVENTION
Rule 55 – Content of the notice of opposition
Rule 56 – Rejection of the notice of opposition as inadmissible
Rule 57 – Preparation of the examination of the opposition
Rule 57a – Amendment of the European patent
Rule 58 – Examination of opposition
Rule 59 – Requests for documents
Rule 60 – Continuation of the opposition proceedings by the European Patent Office of its own...
Rule 61 – Transfer of the European patent
Rule 61a – Documents in opposition proceedings
Rule 62 – Form of the new specification of the European patent in opposition proceedings
Rule 62a – New certificate for a European patent
Rule 63 – Costs
PART VI – IMPLEMENTING REGULATIONS TO PART VI OF THE CONVENTION
Rule 64 – Content of the notice of appeal
Rule 65 – Rejection of the appeal as inadmissible
Rule 66 – Examination of appeals
Rule 67 – Reimbursement of appeal fees
PART VII – IMPLEMENTING REGULATIONS TO PART VII OF THE CONVENTION
Chapter I – Decisions and communications of the European Patent Office
Rule 68 – Form of decisions
Rule 69 – Noting of loss of rights
Rule 70 – Signature, name, seal
Chapter II – Oral proceedings and taking of evidence
Rule 71 – Summons to oral proceedings
Rule 71a – Preparation of oral proceedings
Rule 72 – Taking of evidence by the European Patent Office
Rule 73 – Commissioning of experts
Rule 74 – Costs of taking of evidence
Rule 75 – Conservation of evidence
Rule 76 – Minutes of oral proceedings and of taking of evidence
Chapter III – Notifications
Rule 77 – General provisions on notifications
Rule 78 – Notification by post
Rule 79 – Notification by delivery by hand
Rule 80 – Public notification
Rule 81 – Notification to representatives
Rule 82 – Irregularities in the notification
Chapter IV – Time limits
Rule 83 – Calculation of time limits
Rule 84 – Duration of time limits
Rule 84a – Late receipt of documents
Rule 85 – Extension of time limits
Rule 85a – Period of grace for payment of fees
Rule 85b – Period of grace for the filing of the request for examination
Chapter V – Amendments and corrections
Rule 86 – Amendment of the European patent application
Rule 87 – Different claims, description and drawings for different States
Rule 88 – Correction of errors in documents filed with the European Patent Office
Rule 89 – Correction of errors in decisions
Chapter VI – Interruption of proceedings
Rule 90 – Interruption of proceedings
Chapter VII – Waiving of enforced recovery procedures
Rule 91 – Waiving of enforced recovery procedures
Chapter VIII – Information to the public
Rule 92 – Entries in the Register of European Patents
Rule 93 – Parts of the file not for inspection
Rule 94 – Procedures for the inspection of files
Rule 95 – Communication of information contained in the files
Rule 95a – Constitution, maintenance and preservation of files
Rule 96 – Additional publications by the European Patent Office
Chapter IX – Legal and administrative co-operation
Rule 97 – Communications between the European Patent Office and the authorities of the Contracting...
Rule 98 – Inspection of files by or via courts or authorities of the Contracting States
Rule 99 – Procedure for letters rogatory
Chapter X – Representation
Rule 100 – Appointment of a common representative
Rule 101 – Authorisations
Rule 102 – Amendment of the list of professional representatives
PART VIII – IMPLEMENTING REGULATIONS TO PART VIII OF THE CONVENTION
Rule 103 – Information to the public in the event of conversion
PART IX – IMPLEMENTING REGULATIONS TO PART X OF THE CONVENTION
Rule 104 – The European Patent Office as a receiving Office
Rule 105 – The European Patent Office as an International Searching Authority or International Preliminary...
Rule 106 – The national fee
Rule 107 – The European Patent Office as a designated or elected Office – Requirements for entry into the...
Rule 108 – Consequences of non-fulfilment of certain requirements
Rule 109 – Amendment of the application
Rule 110 – Claims incurring fees – Consequence of non-payment
Rule 111 – Examination of certain formal requirements by the European Patent Office
Rule 112 – Consideration of unity by the European Patent Office
Protocol on Recognition
Protocol on Centralisation
Protocol on Privileges and Immunities
Protocol on the Staff Complement
Rules Relating to Fees
Article 1 – General
Article 2 – Fees provided for in the Convention and in the Implementing Regulations
Article 3 – Fees, costs and prices laid down by the President of the Office
Article 4 – Due date for fees
Article 5 – Payment of fees
Article 6 – (deleted)
Article 7 – Particulars concerning payments
Article 8 – Date to be considered as the date on which payment is made
Article 9 – Insufficiency of the amount paid
Article 10 – Refund of search fees
Article 10a – Refund of the fee for a technical opinion
Article 10b – Refund of examination fee
Article 10c – Refund of insignificant amounts
Article 10d – Refund of fee for international preliminary examination
Article 11 – Decisions fixing costs which are subject to appeal
Article 12 – Reduction of fees
Article 13 – Notification
Article 14 – Entry into force
Annex I – Index of published decisions and opinions of the Enlarged Board of Appeal
Annex II – Legal Advice from the EPO in Brief
Alphabetical keyword index
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
R
S
T
U
V
W
Z

Article 97 65
Refusal or grant

A revised version of the European Patent Convention entered into force on 13 December 2007. The provisions of the revised Convention apply unless the transitional provisions provide for the applicability of the EPC 1973.

(1) The Examining Division shall refuse a European patent application if it is of the opinion that such application or the invention to which it relates does not meet the requirements of this Convention, except where a different sanction is provided for by this Convention.

(2) If the Examining Division is of the opinion that the application and the invention to which it relates meet the requirements of this Convention, it shall decide to grant the European patent for the designated Contracting States provided that:

(a) it is established, in accordance with the provisions of the Implementing Regulations, that the applicant approves the text in which the Examining Division intends to grant the patent;

(b) the fees for grant and printing are paid within the time limit prescribed in the Implementing Regulations;

(c) the renewal fees and any additional fees already due have been paid.

(3) If the fees for grant and printing are not paid in due time, the application shall be deemed to be withdrawn.

(4) 66 The decision to grant a European patent shall not take effect until the date on which the European Patent Bulletin mentions the grant. This mention shall be published at least two months after the start of the time limit referred to in paragraph 2(b).

(5) 66 Provision may be made in the Implementing Regulations for the applicant to file a translation, in the two official languages of the European Patent Office other than the language of the proceedings, of the claims appearing in the text in which the Examining Division intends to grant the patent. In such case, the period laid down in paragraph 4 shall be at least three months. If the translation has not been filed in due time, the application shall be deemed to be withdrawn.

(6) 67 At the request of the applicant, mention of grant of the European patent shall be published before expiry of the time limit under paragraph 4 or 5. Such request may only be made if the requirements pursuant to paragraphs 2 and 5 are met.

65See decision of the Enlarged Board of Appeal G 10/93 (Annex I) and Legal advice No. 17/90 and Legal advice No. 15/05 (rev. 2) (Annex II).

66Amended by decision of the Administrative Council of 27.10.2005 which entered into force on 01.01.2006 (OJ EPO 2005, 545).

67Inserted by decision of the Administrative Council of 20.10.1995 which entered into force on 01.01.1996 (OJ EPO 1995, 741).

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