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II. Patent application and amendments
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  4. Case Law of the Boards of Appeal of the European Patent Office
  5. II. Patent application and amendments
  6. E. Amendments
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E. Amendments

Overview

E. Amendments

1.Article 123(2) EPC – added subject-matter

1.1.General principles
1.2.Content of the application as filed: Parts of the application which determine the disclosure of the invention
1.2.1Description, claims and drawings
1.2.2Abstracts, titles, priority documents, parallel applications
1.2.3Language issues
1.2.4Cross-references to other documents – incorporation by reference
1.3.Standard for assessing compliance with Article 123(2) EPC
1.3.1Gold standard: directly and unambiguously derivable
1.3.2Standpoint of the skilled person
1.3.3Implicit disclosure
1.3.4Subject-matter not implicitly disclosed
a)Subject-matter merely rendered obvious by the content of the application
b)Results of reflection and imagination of the skilled person
c)General open-ended statement in description
1.3.5Conditions insufficient for compliance with Article 123(2) EPC
a)Consistency with original disclosure
b)Reasonable plausibility of the included feature
1.3.6Criteria not relevant for assessing compliance with Article 123(2) EPC
a)Indication in the description that subject-matter is known to the skilled person
b)Enabling disclosure
c)Limitation of scope of the original claim
1.3.7Novelty test
1.3.8Non-technical subject-matter
1.3.9Claim interpretation when assessing compliance with Article 123(2) EPC
a)Standpoint of the skilled person
b)Claim feature in itself imparts clear credible teaching
c)Illogical and technically inaccurate claim features may not be disregarded
d)Ambiguous features – role of description and drawings
e)Construction with regard to all technically logical interpretations
f)Possible but undefined embodiments in dependent claim
1.4.Removal or replacement of features from a claim
1.4.1Broadening of claim – permissible within the limits of the original disclosure
1.4.2Basis in the application as originally filed – gold standard
1.4.3Omission of a feature presented as essential
1.4.4The essentiality or three-point test
a)Decisions setting out, applying and distinguishing the test
b)Mere aid in assessing the allowability of amendments
c)No longer considered appropriate
d)Necessary but not sufficient condition
e)Decisions criticising the essentiality or three-point test
1.4.5Removal of set of features
1.4.6Removal of a feature indicating the intended purpose
1.4.7Elimination of inconsistencies and unclear features
a)Amendment allowed
b)Amendment not allowed
c)Art. 84 and 123(2) EPC – inescapable trap
1.5.Ranges of parameters – setting upper and lower limits
1.5.1Forming a range by combination of end points of disclosed ranges
a)Combination of the preferred narrower range and one of the part-ranges lying within the disclosed overall range
b)Combination of the lower limit of the general range with the lower limit of the preferred range
c)End points which are not part of a range
d)Combination of an end point of a range with a value from a list of individually disclosed values
e)Combination of end points of different levels of preference for several aspects of a composition
f)Peptide fragments
1.5.2Forming a range with isolated value taken from example
a)Principle
b)Amendment allowed
c)Amendment not allowed
1.5.3Setting new end point with not expressly disclosed value – "less than", "below" and rounding values
1.6.Combination of features pertaining to separate embodiments or lists
1.6.1Combination of features pertaining to separate embodiments; application as filed is not a "reservoir"
a)Principles
b)Examples of cases where the combination was held to be unallowable
c)Examples of cases where the combination was held to be allowable
1.6.2Selections from two lists – singling out a combination of features
a)Principles
b)Meaning of "selection from two lists"
c)Disclosure of combination in an individualised manner – pointers
d)Lists of converging alternatives
1.6.3Deletion of elements from lists – shrinking the lists without singling out a combination of features
1.6.4Combination of original independent claim with features from a plurality of dependent claims referring back to the independent claim separately – "US style" dependencies
1.7.Disclaimers
1.7.1Definition
1.7.2Standards for examining disclosed and undisclosed disclaimers
a)Principles established in G 1/03 and G 2/03 for undisclosed disclaimers
b)Principles established in G 2/10 for disclosed disclaimers
c)Explanations in G 1/16
1.7.3Decisions applying the criteria established by the Enlarged Board in G 1/03 and G 1/16
a)Accidental anticipation
b)Drafting of disclaimers – disclaimer to remove no more than necessary
c)Drafting of disclaimers – disclaimer shall not remove less than is necessary
d)Drafting of disclaimers – delimitation against any potential prior art
e)Drafting of disclaimers – clarity
f)Undisclosed disclaimer must not be related to the teaching of the invention
g)Positive features – G 1/03 not applicable
h)Negative feature implicitly disclosed in original application – G 1/03 not applicable
1.7.4Decisions applying the criteria established by the Enlarged Board in G 2/10 – remaining subject-matter test
1.7.5Applicability of the decisions of the Enlarged Board to cases already pending
1.7.6No analogy with G 1/03 where a disclaimer already in the application as filed is deleted
1.8.Generalisations
1.8.1Replacing specific feature with more general term – no inclusion of undisclosed equivalents
1.8.2Generalisation and claim category
1.8.3No generalisation of an effect obtained for particular embodiments
1.8.4Amendments to preamble of claim by substituting general term for specific term
1.9.Intermediate generalisations
1.9.1Principles
1.9.2Examples regarding the requirement "no clearly recognisable functional or structural relationship"
1.9.3Further examples of unallowable intermediate generalisations
1.9.4Further examples of allowable extractions of isolated features from a set of features
1.10.Specific derived from generic
1.10.1Specific term or embodiment derived from generic disclosure
1.10.2Component of entity derived from entity
1.10.3Restricting a generic definition of a substituent to a specific (individual) one
1.10.4Multiple arbitrary selection
1.11.Additions
1.11.1Addition to the claim of a feature taken from drawings
1.11.2Addition to the claim of an isolated feature taken from description
1.11.3Addition to the claim of features originally presented as prior art
1.11.4Addition to the claim of features previously described as non-essential
1.11.5Adding prior art citations to the description
a)General
b)Erroneous delimitations from the relevant prior art
1.11.6Addition of advantages and effects to the description
1.11.7Addition/change of claim category
1.11.8Insertion of an ambiguous feature in the claim
1.11.9Characteristic described for intermediate product added to the claimed end product
1.12.Errors in the disclosure
1.12.1Calculation errors
1.12.2Incorrect structural formula
1.12.3Amendment based on erroneous figure in the disclosure
1.12.4Incorrect information in earlier application as filed but correct information directly and unambiguously derivable
1.13.Disclosure in drawings
1.13.1General
1.13.2Schematic drawings
1.13.3Negative features
1.14.Amending the description
1.14.1Amendment to provide support for unsupported claim
1.14.2Impact on the claimed subject-matter
1.14.3Adding prior art citations to the description – removing the wrong label "prior art"
1.14.4Shift in the interpretation of a claim by amendment of the description
1.14.5Shift in the information provided by the examples after amendment of claims
1.14.6Reformulation of the technical problem
1.14.7Replacement of complete description and drawings
1.14.8Deletion from the description of expressions making features optional
1.15."Comprises", "consists of", "consists essentially of", "contains"
1.16.Different sets of claims for different contracting states

2.Article 123(3) EPC – extension of the protection conferred

2.1.Purpose of Article 123(3) EPC
2.2.Totality of claims
2.3.Extent of protection
2.3.1Article 123(3) EPC and Article 69 EPC
a)Principles
b)Protection conferred within the meaning of Article 123(3) EPC not determined by subject-matter at issue in national infringement proceedings
c)Generally accepted meaning of a term in the claims versus definition in the description
2.3.2Cut-off point
2.3.3General claim interpretation
2.4.Deletions and replacements
2.4.1Deletion of a limiting feature in a claim – inescapable trap
2.4.2Deletion of feature from description where claim remains unchanged
2.4.3Deletion of examples for a general feature in a claim
2.4.4Deletion of disclaimer
2.4.5Deletion or replacement of drawings
2.4.6Deletion of feature in a claim mentioned "in particular"
2.4.7Deletion of a "preferred" feature in a claim
2.4.8Replacement of a restrictive term by a less restrictive term
2.4.9Replacement of an inaccurate technical statement in a claim
2.4.10Replacement of "cell of a plant" by "plant"
2.4.11Replacement of substance by device containing substance or substance with mechanical device
2.4.12Replacement by aliud
2.4.13Narrowing down a generic class or list of chemical compounds; open claims ("comprising"); sequential drafting ("cascade")
2.5.Additions
2.5.1Addition of technical features defining the invention more narrowly
2.5.2Reducing scope of claim by adding embodiments to a negative feature
2.6.Transposition of features within claims
2.7.Change of claim category
2.7.1From product claim to a claim directed to the use of the product
a)Different categories of use claims
b)From product claim to a claim directed to using a product to achieve an effect
c)From product claim to a claim directed to using a product for producing another product – Article 64(2) EPC
2.7.2From device claim to a method claim directed to using the device to carry out a work method
2.7.3From product or product-by-process claim to a claim directed to a process for manufacturing/preparing the product, and vice versa
2.7.4From a product claim to a product-by-process claim
2.7.5From method of operating a device claim to product claim
2.7.6From use claim to process claim, and vice versa
2.7.7From use claim to Swiss-type claim
2.7.8From Swiss-type claim to purpose related product claim under Article 54(5) EPC

3.Relationship between Article 123(2) and Article 123(3) EPC

3.1.Inescapable trap
3.2.Attempts to resolve the conflict
3.2.1General
3.2.2Replacement of an added undisclosed feature by another feature disclosed in the application as filed without violating Article 123(3) EPC
3.2.3Deletion of added undisclosed feature, which has no technical meaning, without violating Article 123(3) EPC
3.2.4Added undisclosed feature, which does not provide a technical contribution and does not contravene Article 123(2) EPC
3.2.5Resolving the conflict in cases of clerical errors or incompatibility between the claims as granted and the description

4.Correction of errors in the description, claims and drawings – Rule 139 EPC

4.1.Relationship of Rule 139 EPC with Article 123(2) and (3) EPC
4.2.Obviousness of the error and the correction
4.2.1Documents to be taken into account for the assessment of obvious error and correction
4.2.2Obvious error – incorrect information objectively recognisable
4.2.3Obvious correction – immediately evident that nothing else would have been intended than what is offered as the correction
4.3.No replacement of the description under Rule 139 EPC
4.4.Request for correction to be filed without delay
4.5.Correction of errors in the description, claims and drawings after grant, and in opposition proceedings
5.Evidence and standard of proof for allowing amendments and corrections

This chapter concerns the allowability of amendments under Art. 123(2) and (3) EPC, as well as corrections of errors in the parts of a patent application or of a patent relating to the disclosure (the description, claims and drawings) under R. 139 EPC. Other aspects related to amendments are dealt with elsewhere; see for example chapters II.D.3.1.2 in the context of Art. 87(1) EPC; II.F. "Divisional applications", in particular II.F.2.2. "Amendments to divisional applications"; III.I.3.1. "Party's responsibility to define subject-matter by filing appropriate requests"; III.L. "Correction of errors in decisions"; IV.B.1.1., IV.B.2.6., IV.B.3.3., IV.B.3.4., IV.B.3.6., IV.B.3.7., IV.B.5. for the admissibility of amendments during the "Examination procedure"; IV.C.5. "Amendments in opposition proceedings"; V.A.4. "New submissions on appeal – case law on RPBA 2020" and V.A.5 "New submissions on appeal – case law on RPBA 2007".

New decisions
T 1558/21

Catchword:

1. Entspricht der Antrag, der der Entscheidung der Einspruchsabteilung zugrunde liegt, zum Zeitpunkt der Entscheidung nicht dem Willen einer Partei, so ist diese Partei beschwert und ihre Beschwerde gegen die Entscheidung zulässig (Punkt 1.1 der Entscheidungsgründe).  2. Die Kammer sieht es als erwiesen an, dass die Entscheidung der Einspruchsabteilung nicht auf der beabsichtigten Fassung des Hilfsantrags beruht, die in der mündlichen Verhandlung erörtert wurde. Im vorliegenden Fall hat die Einspruchsabteilung entweder über den falschen Antrag entschieden, der nicht dem Tenor der Entscheidung entspricht, oder aber über einen Antrag, zu dem die Parteien nicht gehört wurden. Beides stellt einen schwerwiegenden Verfahrensmangel dar, und daher ist die Entscheidung aufzuheben (Punkte 3.4 - 3.6 der Entscheidungsgründe).  3. Ein Fehler in einem während der mündlichen Verhandlung eingereichten Anspruchssatz, der Teil einer in der mündlichen Verhandlung verkündeten Entscheidung geworden ist, ist weder einer späteren Korrektur über Regel 140 EPÜ zugänglich, noch über Regel 139 EPÜ, sofern es ihm an der Offensichtlichkeit mangelt (Punkte 5.1 - 5.5 der Entscheidungsgründe).

T 1099/21

Catchword:

Any unclarity that may arise from an ambiguity in an application as filed is to the detriment of a patent proprietor, who is ultimately responsible for the drafting of the application as filed and its claims. The fact that a feature in the application as filed is unclear cannot therefore justify or excuse the complete deletion of the unclear feature or its replacement by another feature if this results in an extension beyond the content of the application as filed. What prompted a patent proprietor to make a particular amendment to the claims cannot have any influence on the outcome of the assessment of the ground for opposition under Article 100(c) EPC (point 8 of the Reasons).

T 88/21

Catchword: 

In view of the principles of multiple priorities and partial priority: undisclosed disclaimer based on a disclosure in an earlier application by the same applicant not allowed.

T 1473/19

Catchword: 

1.) Article 69 EPC in conjunction with Article 1 of the Protocol thereto can and should be relied on when interpreting claims and determining the claimed subject-matter in proceedings before the EPO, including for the purpose of assessing compliance with Article 123(2) EPC (Reasons 3.1-3.15).  2.) Although Article 69(1), second sentence, EPC requires that generally account be taken of the description and the drawings when interpreting a claim, the primacy of the claims according to Article 69(1), first sentence, EPC limits the extent to which the meaning of a certain claim feature may be affected by the description and the drawings (Reasons 3.16-3.16.2).  3.) Claim interpretation is overall a question of law which must as such ultimately be answered by the deciding body, and not by linguistic or technical experts. It does, however, involve the appraisal of linguistic and technical facts which may be supported by evidence submitted by the parties (Reasons 3.17).

J 3/21

Catchword: 

1. Mere inconsistencies among the indications in the request for grant of a European patent (EPO Form 1001), and between some of them and the originally filed application documents, are not sufficient to prove an alleged obvious error or the obviousness of a correction offered under Rule 139 EPC. 

2. The ban on corrections under Rule 139 EPC by replacement of at least the complete description is categorical.

Case Law Suppl.
Annual report: case law 2022
Summaries of decisions in the language of the proceedings
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