FICPI Historic Event 5Th Open Forum Monte Carlo 3-6 November 1999
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FICPI Historic Event 5th Open Forum Monte Carlo 3-6 November 1999 Paper Number Speaker Title Page Number MC/1.1a Jean-Jacques JOLY Unity Of Invention In Europe 3 MC/1.1b Leonard SVENSSON Recent Changes In Practice At The Uspto 9 MC/1.2 Michael FYSH QC, SC of Scope Of Claims 15 the London and Dublin Bars MC/1 H. Sam FROST Are We Content With A Novelty Standard 23 That Creates Two Classes Of Patentable Subject Matter? (Is Anyone Interested In A Sale Bar?) MC/1.6 Peter JAMES Regional Patent Systems In Africa 31 MC/1.6 Vladimir RYBAKOV Eurasian Patent System: An Advantage To 36 Be Employed MC/1.7 Dr. Daniel ALGE, Vienna Opposition Practice At The Epo 42 MC/2.1a Jean-Marie Trade Mark Use On The Internet 52 BOURGOGNON MC/2.1b Tan Tee Jim, S.C., Trade Mark Use On The Internet 57 SINGAPORE MC/2.2a K.L. HENRIKSEN Bad Faith Registration 72 MC/2.2b William HOWIE Bad Faith Trade Mark Registrations 79 MC/2.5 Paul STEINHAUSER, Trademark Litigation In Europe: The 85 Amsterdam Interplay Between National Trademarks And Community Trademarks MC/3.6 Ethan HORWITZ Cost Of Action Vs. Damages In 89 Trademarks Infringement Actions In The United States MC/3.3 Harold C. Wegner Patent Appeals At The U.S. Pto 97 MC/3.3 Knud RAFFNSØE, Appeal Examination System Towards The 110 Denmark 21st Century MC/3.3 Yoshinori Teramoto, JP The Japanese Appeal System 119 MC/3.5 Professor, Jur. Dr. SPARE PARTS And Their PROTECTION 128 Marianne LEVIN, Faculty From A EUROPEAN PERSPECTIVE of Law, Stockholm University MC/3.6 Keith BERESFORD The State Of The Art In Speech 136 Recognition MC/3.7 Alison DYER, South Africa Indigenous Rights 137 Please note: Only a small selection of the papers presented at the 5th FICPI Open Forum, Monte Carlo 1999 are available in electronic form. last updated: 26 June 2000 Page | 1 FICPI Historic Event 5th Open Forum Monte Carlo 3-6 November 1999 PAPER: MC/1.1a by Jean-Jacques JOLY Unity of Invention in Europe 1. The legal provisions The requirement for unity of invention is set forth in Article 82 of the European Patent Convention (EPC) : "The European patent application shall relate to one invention only or to a group of inventions so linked as to form a single general inventive concept." As to the grounds for such a provision, some decisions of Boards of Appeal (such as T 110/82, OJ 1983, 274) refer to the regulatory function of Article 82 EPC, namely : to prevent unjustified savings in the payment of official fees, to provide for a "ready comprehensibility" of the object for which protection is sought. Ready comprehensibility of what is claimed is a legitimate reason. Problem is that it is often hardly achieved, even when unity of invention is not questionable. It is nevertheless a good reason to be put forward, in order that the requirement for unity of invention does not appear to be dictated only for the sake of a wealthy EPO budget. Single inventive concept is defined in Rule 30(1) EPC : "Where a group of inventions is claimed in one and the same European patent application, the requirement of unity of invention referred to in Article 82 shall be fulfilled only when there is a technical relationship among those inventions involving one or more of the same or corresponding special technical features. The expression "special technical features" shall means those features which define a contribution which each of the claimed inventions considered as a whole makes over the prior art" As will be seen hereinafter, assessment of unity of invention by the EPO focused on the identification of such special technical features commonly shared by the different claimed objects. Those technical features qualify as special in the sense that they define a contribution over the prior art, such a contribution being required to recognise a common inventive concept. The above applies equally for European patent applications and for PCT applications. Indeed, same wording as in Article 82 and Rule 30(1) of the EPC is used in Rules 13.1 and 13.2 of the PCT. 2. Assessment of Unity of Invention 2.1 Way of claiming Although unity of invention is not affected by the way of claiming, the EPO has developed guidelines as to the allowability of different independent claims in a single application. This applies both to Page | 2 FICPI Historic Event 5th Open Forum Monte Carlo 3-6 November 1999 European patent applications and to PCT applications for which the EPO acts as International Searching Authority (ISA). A single inventive concept may be recognised between independent claims of different categories as in the following examples : a. a claim for a product, a claim for a process specially adapted for the manufacture of the product and a claim for a use of the product; b. a claim for a process and a claim for an apparatus or means specifically designed for carrying out the process; c. a claim for a product, a claim for a process specially adapted for the manufacture of the product and a claim for an apparatus or means specifically designed for carrying out the process. Possibilities (a), (b) and (c) were expressly mentioned in the original version of Rule 30 EPC, whereas possibilities (a) and (b) were expressly mentioned in the original version of Rule 13 PCT. Unity between product and process claims requires that the process inherently results in the product, or at least in a component of a composition claimed (decision T 492/91). Unity between process and apparatus or means requires that the apparatus or means have been specifically designed for carrying the process, or at least a step of the process (T861/92), but without excluding any other possible use (W32/88 and W 16/89). A single inventive concept may also be recognised between independent claims of same category. This is however limited to specific cases, such as : several uses of a same product : a pharmaceutical use and a non-therapeutic use (T 200/86), a first medical use and a second medical use (W 5/91, W 28/91), ... intermediate product(s) and final product deriving therefrom, provided they share a same essential structural element (T /82, T 110/82, T 35/87, T 470/91). Indeed, the EPO is not likely to accept a plurality of independent claims having substantially the same object, as can be found in US-type patent applications The objection would then be based on Article 84 EPC (lack of clarity and conciseness). 2.2 Identification of common special features The EPO has taken the following position. The requirement of special technical features defining a contribution over the prior art means that those technical features must be new and not obvious to support a common inventive concept. This allows assessment of unity of invention to be made a posteriori, i.e. after comparison of the claims with the prior art. With respect to PCT applications for Page | 3 FICPI Historic Event 5th Open Forum Monte Carlo 3-6 November 1999 which the EPO acts as ISA, this has been confirmed by a decision of the Enlarged Board of Appeals (G 1/89, G 2/89). Since then, there are a number of decisions by EPO Boards of Appeal holding that there is no unity of invention when no common new and not obvious feature(s) can be recognised in the part of different claims distinguishing over the closest prior art. This means that the assessment of unity of invention is made not with respect of the general inventive concept subjectively claimed by the Applicant, but with respect to the remaining inventive features after comparison with the prior art uncovered during the search. This means also that, at the search stage, some substantive examination as to the novelty and non-obviousness is carried out, although the lack of novelty and non-obviousness should be "immediately" apparent (W 24/90) to validly support an objection of lack of unity. 3. Non-unity objections 3.1 European Patent Applications When the Examiner considers there is no unity of invention, he draws up a partial search report relative to the claims directed to the first identified invention (including claim 1) and issues an invitation to pay further search fee(s) for the other identified invention(s). If the Applicant decides not to pay further search fee(s), the application will proceed only with respect to the searched subject matter (decision G 2/92) of the Enlarged Board of Appeals). Protection on the other subject matter(s) can be obtained only through filing of divisional application(s). It is only when the Applicant pays further search fee(s) that he has the possibility to pursue the application with respect to any of the searched subject matters and to contest the objection of non- unity and request refund of the further search fees paid. It is the Examining Division which is competent to decide on the issue of unity of invention. If it decides that the objection of non-unity was well-founded (and is eventually approved by the Board of Appeals), divisional application(s) will have to be filed if protection is sought on several subject matters. If it decides that the objection was not well founded, the further search fees paid will be reimbursed. 3.2 PCT applications As for European patent applications, when the searching Examiner considers there is no unity of invention, he draws up a partial search report and invites to pay further search fee(s).