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Guidelines for Examination

 
 

3. Auxiliary requests

In examination, opposition and limitation proceedings, parties may submit a main request followed by one or more auxiliary requests (see also D‑IV, 5.3).

Example 1: 

"We request grant of a patent as per the documents originally filed or, alternatively, as per the amended documents now enclosed."

Example 2: 

"We request that the opposition be rejected or, alternatively, that the patent be maintained in amended form as per the enclosed documents."

Such further (auxiliary) requests are made in case the Examining or Opposition Division cannot allow the main (first) request.

If in examination proceedings an applicant files text labelled as an auxiliary request, but also indicates that he is not yet willing to restrict himself to that request, the text should not be considered as a true auxiliary request within the meaning of this chapter, such that it would not be possible to proceed directly to the issue of a communication under Rule 71(3) based on this text (see C‑V, 1.1). In such circumstances it would be appropriate to contact the applicant by telephone to establish whether he would be prepared to proceed to grant on the basis of that text. The applicant's agreement or non-agreement that a Rule 71(3) communication can be based on such an auxiliary request must be mentioned in the minutes of the telephone conversation or, in the case of agreement, in the Rule 71(3) communication (see C‑VII, 2.5).