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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

You are viewing the 9th edition (2019) of this publication; for the 10th edition (2022) see here

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
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)Obviousness
b)Indication in the description that subject-matter is known to the skilled person
c)Enabling disclosure
d)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
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 and applying the test
b)Mere aid in assessing the allowability of amendments
c)Decisions criticising the three-point test
1.4.5Removal of set of features
1.4.6Removal of a feature indicating the intended purpose
1.4.7Elimination of contradictions and inconsistencies
1.5.Ranges of parameters – setting upper and lower limits
1.5.1Forming a range by combination of end-points of disclosed ranges
1.5.2Forming a range with isolated value taken from example
1.5.3Setting new end-point with not expressly disclosed value
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"
1.6.2Selection from two lists – singling out a combination of features
1.6.3Deletion of elements from lists – shrinking the lists without singling out a combination of features
1.7.Disclaimer
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 shall not remove more than is 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)Negative features
1.7.4Decisions applying the criteria established by the Enlarged Board in G 1/10 – remaining subject-matter test
1.7.5Applicability of the decisions of the Enlarged Board to cases already pending
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
1.10.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
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
1.14.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
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
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
2.4.2Deletion of important feature from description where claim remains unchanged
2.4.3Deletion of examples for a general feature in a claim
2.4.4Deletion of disclaimer referring to trade names
2.4.5Deletion of a drawing
2.4.6Deletion of feature in a claim mentioned "in particular"
2.4.7Deletion of a "preferred" feature in a claim
2.4.8Reducing scope of claim by adding embodiments to a negative feature
2.4.9Replacement of a restrictive term by a less restrictive term
2.4.10Replacement of an inaccurate technical statement in a claim
2.4.11Replacement of "cell of a plant" by "plant"
2.4.12Replacement of substance by device containing substance or substance with mechanical device
2.4.13Replacement by aliud
2.4.14Narrowing down a generic class or list of chemical compounds; open claims ("comprising"); sequential drafting ("cascade")
2.4.15Replacement of drawings
2.5.Transposition of features within claims
2.6.Change of claim category
2.6.1From 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
2.6.2From product or product-by-process claim to a claim directed to a process for manufacturing/preparing the product, and vice versa
2.6.3From a product claim to a product-by-process claim
2.6.4From method claim for treating the human body by therapy to product claim
2.6.5From use claim to process claim, and vice versa
2.6.6From use claim to Swiss-type claim
2.6.7From 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
3.3.Addition to the claim of an undisclosed feature limiting protection conferred, without providing a technical contribution

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.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".

New decisions
T 768/20

Exceptions to the "gold standard" (point 2.2 of the reasons)

T 3035/19

Selections in two or more lists, see points 1.4 and 1.5 of the reasons

T 2327/18

Die Streichung eines in einer Anmeldung wie ursprünglich eingereicht ausdrücklich als "Nicht-Teil" der Erfindung offenbarten Disclaimers ist nicht zulässig, wenn die Streichung dazu führt, dass der "Nicht-Teil" teilweise doch beansprucht wird. Die Tatsache, dass es sich bei der Anmeldung um eine Teilanmeldung handelt und dass der Disclaimer patentrechtliche Gründe hatte, ist dabei unerheblich.

T 2058/18

It is the responsibility of the representative to consult with its client (appellant) when presenting arguments about essential distinguishing features of the invention over the closest prior art. It is however the ultimate responsibility of the appellant to file amendments. Generally, these distinguishing features, presented as essential ones, could not anymore be considered as being obvious errors afterwards (Reasons, 3.5.6); The disclosure of a family member of a document cited in an application can not be used to dispel doubts as to the meaning of an ambiguous part of the application (Reasons 3.13.1); the (technically) skilled person might be considered a multilingual person but not normally a linguist (Reasons 3.13.7).

T 1598/18

A new definition or the re-defining of a known term does not add subject matter, if there is pertinent disclosure in the application as a whole (point 18).

T 2450/17

Zur Möglichkeit und den Folgen von Berichtigungen inhaltlich unzutreffender, in der Patentschrift enthaltener Hinweise auf den Stand der Technik, siehe Punkte 2. bis 2.5 und 3.3.3 bis 3.3.6

T 1121/17

The criteria set out in the Guidelines for Examination in the European Patent Office (November 2016 update) at paragraph H.IV.3.5, concerning the allowability of amendments under Article 123(3) EPC, are inappropriate for the assessment of compliance with Article 123(2) EPC (see point 1.5.1 of the reasons).

T 970/17

Assessing compliance with Article 123(3) EPC does not include a test taking into account national infringement laws such as the rules on contributory infringement (point 6.2 of the Reasons).

T 1791/16

If a claim is ambiguous/unclear, all technically reasonable claim interpretations must be considered. If one of those interpretations contains matter that extends beyond the content of the application as originally filed, it must be concluded that added subject-matter is present (reasons point 11).

T 1621/16

1) When fall-back positions for a feature are described in terms of a list of converging alternatives, the choice of a more or less preferred element from such a list should not be treated as an arbitrary selection, because this choice does not lead to a singling out of an invention from among a plurality of distinct options, but simply to a subject-matter based on a more or less restricted version of said feature.

2) A claim amended on the basis of multiple selections from lists of converging alternatives might be considered to meet the requirements of Article 123(2) EPC if: - the subject-matter resulting from the multiple selections is not associated with an undisclosed technical contribution, and - the application as filed includes a pointer to the combination of features resulting from the multiple selections.

T 1127/16

(1) With respect to the assessment of compliance with Article 123(2) EPC, the fact that a claim of a patent is to be construed by a mind willing to understand and not a mind desirous of misunderstanding does not mean that the description and the drawings have automatically to be consulted when an "ambiguous" feature (i.e. a feature which at least theoretically allows more than one interpretation) occurs in the claim, or where the claim as a whole includes one or more inconsistencies, to resolve that ambiguity or inconsistency. Rather, the claim should essentially be read and interpreted on its own merits (see points 2.6.1 and 2.6.2 of the Reasons).

(2) As to the issue of an "inescapable trap", see point 4 of the Reasons.

T 1525/15

Implicitly disclosed disclaimer (see point 4 of the reasons)

T 1362/15

See points 3.1 to 3.7.3 of the Reasons

T 886/15

The added features cannot be considered to be the deliberate result of technical considerations directed to the solution of the technical problem involved. In the absence of any identified technical purpose justifying the features in question, their selection in a claim is arbitrary (cf. points 16-22).

T 131/15

See Reasons, point 5.11:

Where an expression in a granted claim, taken literally and in isolation, would have the effect of excluding all of the disclosed embodiments from the scope of protection, but where a definition of the expression may be derived from the patent itself which would locate (at least some of) the disclosed embodiments within the ambit of the claim, and provided this definition is not manifestly unreasonable, having regard to the normal meaning of the words used in the expression, then in judging compliance with the requirements of Article 123(3) EPC, the scope of protection should normally be considered to include at least that which would fall within the terms of the claim understood according to this definition.

T 1218/14

The requirement in G 1/03 that an accidental novelty-destroying disclosure has to be completely irrelevant for assessing inventive step is to be understood not as an alternative, or additional criterion, but as a consequence of the criterion that, from a technical point of view, said disclosure is so unrelated and remote that the person skilled in the art would never have taken it into consideration when making or working on the invention (points 2 and 7).

T 1360/13

In view of Article 69(1) EPC which states that the description and the drawings shall be used to interpret the claims when determining the extent of the protection conferred by a European patent, after grant, any information in the description and/or drawings of a patent directly related to a feature of a claim and potentially restricting its interpretation cannot be removed from the patent without infringing Article 123(3) EPC.

OJ Supplementary Publications
Case law 2021
Case law 2020

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Case law 2019

ABl. EPA 2020, Zusatzpublikation 4
OJ EPO 2020, Supplementary publication 4
JO OEB 2020, Publication supplémentaire 4

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