EPO如何退還審查費(fèi)？

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來(lái)源：IPRdaily中文網(wǎng)（IPRdaily.cn）

作者：閆彥飛  北京品源專利代理有限公司

原標(biāo)題：EPO退還審查費(fèi)的話題

退還審查費(fèi)（refund of the examination fee）的前提是已經(jīng)向EPO繳納了審查費(fèi)，那么既然已經(jīng)提交了歐洲專利申請(qǐng)并且繳納了審查費(fèi)，為何EPO要退還審查費(fèi)呢？這就涉及到另一個(gè)問(wèn)題：申請(qǐng)人對(duì)專利的布局。

在一件歐洲專利申請(qǐng)的審查過(guò)程中，如果考慮到該歐洲專利申請(qǐng)的技術(shù)已經(jīng)被淘汰或者該歐洲專利申請(qǐng)?jiān)跉W洲地區(qū)沒(méi)有市場(chǎng)應(yīng)用前景等原因，申請(qǐng)人會(huì)選擇撤回該歐洲專利申請(qǐng)。如果此時(shí)申請(qǐng)人已經(jīng)向EPO提出了審查請(qǐng)求(request for examination)，則EPO需要向申請(qǐng)人退還其繳納的審查費(fèi)。

接下來(lái)，我們循序漸進(jìn)的了解一下與EPO Examining Division的審查和EPO如何退還審查費(fèi)用有關(guān)的法律知識(shí)。

1、何時(shí)提出審查請(qǐng)求？

在解答這個(gè)問(wèn)題之前，我們先來(lái)看一下相關(guān)法條和實(shí)施細(xì)則的規(guī)定。

Rule 70  request of examination

(1) The applicant may request examination of the European patent application up to six months after the date on which the European Patent Bulletin mentions the publication of the European search report. The request may not be withdrawn.

(2) If the request for examination has been filed before the European search report has been transmitted to the applicant, the European Patent Office shall invite the applicant to indicate, within a period to be specified, whether he wishes to proceed further with the application, and shall give him the opportunity to comment on the search report and to amend, where appropriate, the description, claims and drawings.

(3) If the applicant fails to reply in due time to the invitation under paragraph 2, the application shall be deemed to be withdrawn.

從Rule 70中可以看出，提出審查請(qǐng)求的時(shí)間有兩個(gè)：

R 70(1) EPC規(guī)定：在收到國(guó)際檢索報(bào)告后提出審查請(qǐng)求。自歐洲專利公報(bào)上公布?xì)W洲專利檢索報(bào)告之日起六個(gè)月內(nèi)，申請(qǐng)人可以請(qǐng)求EPO對(duì)歐洲專利申請(qǐng)進(jìn)行審查，此申請(qǐng)不可以撤回。

R 70(2) EPC規(guī)定：在提交歐洲專利申請(qǐng)的階段提出審查請(qǐng)求。如果申請(qǐng)人在歐洲專利檢索報(bào)告尚未傳送到之前已經(jīng)提出了審查請(qǐng)求，EPO應(yīng)在指定的期限內(nèi)，邀請(qǐng)申請(qǐng)人就是否繼續(xù)對(duì)該歐洲專利申請(qǐng)進(jìn)行審查表明態(tài)度，給予其就檢索報(bào)告發(fā)表意見(jiàn)的機(jī)會(huì)，并在需要時(shí)修改說(shuō)明書(shū)、權(quán)利要求書(shū)和附圖。

需要注意的是，提出審查請(qǐng)求包括兩個(gè)部分：提交審查的書(shū)面請(qǐng)求和繳納審查費(fèi)。如果申請(qǐng)人僅僅提交了審查的書(shū)面請(qǐng)求，但未繳納審查費(fèi)，那么該審查請(qǐng)求視為未提出。

2、何時(shí)涉及EPO退還審查費(fèi)？

在R 70(1) EPC規(guī)定的情形，申請(qǐng)人在收到檢索報(bào)告時(shí)還未提出審查請(qǐng)求，如果申請(qǐng)人參考檢索報(bào)告中審查員的意見(jiàn)后決定撤案，則不涉及EPO退還實(shí)質(zhì)審查費(fèi)的問(wèn)題。

在R 70(2) EPC規(guī)定的情形，申請(qǐng)人在收到檢索報(bào)告之前，已經(jīng)提出了審查請(qǐng)求，如果申請(qǐng)人此時(shí)不接受EPO根據(jù)Rule 70(2) EPC下發(fā)的邀請(qǐng)打算撤案，則涉及到EPO退還全部審查費(fèi)的問(wèn)題。

此外，如果在Rule 70(1) EPC的情形下，申請(qǐng)人提出了審查請(qǐng)求，或者在Rule 70(2) EPC的情形下申請(qǐng)人接受了EPO的邀請(qǐng)，則該歐洲專利申請(qǐng)將會(huì)進(jìn)入實(shí)質(zhì)審查(substantive examination)階段，此時(shí)申請(qǐng)人還有機(jī)會(huì)獲得EPO退還的審查費(fèi)的50%的機(jī)會(huì)。

3、EPO如何退還審查費(fèi)

Article 94  Examination of the European patent application

(1) The European Patent Office shall, in accordance with the Implementing Regulations, examine on request whether the European patent application and the invention to which it relates meet the requirements of this Convention. The request shall not be deemed to be filed until the examination fee has been paid.

(2) If no request for examination has been made in due time, the application shall be deemed to be withdrawn.

(3) If the examination reveals that the application or the invention to which it relates does not meet the requirements of this Convention, the Examining Division shall invite the applicant, as often as necessary, to file his observations and, subject to Article 123, paragraph 1, to amend the application.

(4) If the applicant fails to reply in due time to any communication from the Examining Division, the application shall be deemed to be withdrawn.

Rule 71 Examination procedure

(1) In any communication under Article 94, paragraph 3, the Examining Division shall, where appropriate, invite the applicant to correct any deficiencies noted and to amend the description, claims and drawings within a period to be specified.

(2) Any communication under Article 94, paragraph 3, shall contain a reasoned statement covering, where appropriate, all the grounds against the grant of the European patent.

(3) Before the Examining Division decides to grant the European patent, it shall inform the applicant of the text in which it intends to grant it and of the related bibliographic data. In this communication the Examining Division shall invite the applicant to pay the fee for grant and publishing and to file a translation of the claims in the two official languages of the European Patent Office other than the language of the proceedings within four months.

(4) If the European patent application in the text intended for grant comprises more than fifteen claims, the Examining Division shall invite the applicant to pay claims fees in respect of the sixteenth and each subsequent claim within the period under paragraph 3 unless the said fees have already been paid under Rule 45 or Rule 162.

(5) If the applicant, within the period laid down in paragraph 3, pays the fees under paragraph 3 and, where applicable, paragraph 4 and files the translations under paragraph 3, he shall be deemed to have approved the text communicated to him under paragraph 3 and verified the bibliographic data.

(6) If the applicant, within the period under paragraph 3, requests reasoned amendments or corrections to the communicated text or keeps to the latest text submitted by him, the Examining Division shall issue a new communication under paragraph 3 if it gives its consent; otherwise it shall resume the examination proceedings.

(7) If the fee for grant and publishing or the claims fees are not paid in due time, or if the translations are not filed in due time, the European patent application shall be deemed to be withdrawn.

Article 11 RFees  Refund of examination fee

The examination fee provided for in Article 94, paragraph 1, of the Convention shall be refunded:

(a) in full if the European patent application is withdrawn, refused or deemed to be withdrawn before substantive examination has begun;

(b) at a rate of 50% if the European patent application is withdrawn after substantive examination has begun and

- before expiry of the time limit for replying to the first invitation under Article 94, paragraph 3, of the Convention issued by the Examining Division proper or,

- if no such invitation has been issued by the Examining Division, before the date of the communication under Rule 71, paragraph 3, of the Convention.

Article 94 EPC是關(guān)于歐洲專利申請(qǐng)審查的條款，共包括4段。Article 94(1) EPC規(guī)定：應(yīng)申請(qǐng)人要求，EPO應(yīng)當(dāng)按照本公約《實(shí)施細(xì)則》的規(guī)定，審查歐洲專利申請(qǐng)及所涉及發(fā)明是否滿足本公約的要求。在申請(qǐng)人繳納審查費(fèi)前，上述審查請(qǐng)求視為未提出。Article 94(3) EPC規(guī)定：如果審查發(fā)現(xiàn)該歐洲專利申請(qǐng)及所涉及發(fā)明不滿足本公約的要求，審查部門應(yīng)當(dāng)給予必要的機(jī)會(huì)，讓申請(qǐng)人發(fā)表意見(jiàn)，并根據(jù)Article 123(1) EPC的規(guī)定修改該歐洲專利申請(qǐng)。

Rule 71 EPC是關(guān)于實(shí)審程序的條款，共包括7段。Rule 71(3) EPC規(guī)定：審查部門在決定授予歐洲專利之前，應(yīng)當(dāng)通知申請(qǐng)人其打算授予專利的文本和相關(guān)的著錄項(xiàng)目數(shù)據(jù)。審查部門在此通知中，應(yīng)要求申請(qǐng)人繳納授權(quán)及公布費(fèi)，并在四個(gè)月期限內(nèi)提交除程序中使用語(yǔ)言之外的兩種歐洲專利局官方語(yǔ)言的權(quán)利要求譯文。如果申請(qǐng)人繳納了上述費(fèi)用且在規(guī)定期限內(nèi)提交了譯文，視為申請(qǐng)人同意將要授權(quán)的文本。

Article 11 RFees是關(guān)于EPO退還審查費(fèi)的條款，共包括2段。其規(guī)定了兩種退還審查費(fèi)的情形。在Article 94(1) EPC成立的前提下，EPO應(yīng)當(dāng)退還審查費(fèi)的兩種情況：

（a）全部退還。如果在審查開(kāi)始之前，歐洲專利申請(qǐng)已經(jīng)被撤回、被駁回或被視為撤回，則EPO應(yīng)當(dāng)退還全部審查費(fèi)。

（b）退還審查費(fèi)的50%。如果在審查開(kāi)始后且在Article 94(3) EPC規(guī)定的第一次邀請(qǐng)的答復(fù)期限屆滿之前，該歐洲專利申請(qǐng)被撤回，則EPO應(yīng)當(dāng)退還審查費(fèi)的50%；如果Examining Division未下發(fā)Article 94(3) EPC中的邀請(qǐng)但下發(fā)了Rule 71(3) EPC的通知，在審查開(kāi)始后且在該通知答復(fù)期限屆滿之前，該歐洲專利申請(qǐng)被撤回，則EPO應(yīng)當(dāng)退還審查費(fèi)的50%。

需要了解的是，在2016年7月1日之后，EPO才有全部退還審查費(fèi)的規(guī)定。之前的舊規(guī)定EPO僅僅退還審查費(fèi)的75%。

讀到這里，便引出了一個(gè)問(wèn)題：Article 11(a) RFees全部退還審查費(fèi)的前提是before the substantive examination has begun。那申請(qǐng)人如何知道the substantive examination何時(shí)開(kāi)始呢？難道只能靠運(yùn)氣或者盡快向EPO說(shuō)明要撤案嗎？有沒(méi)有覺(jué)得交上去的錢，潑出去的水，再想要回來(lái)難于上青天？

其實(shí)并不然，EPO在做出Article 11(a) RFees規(guī)定的同時(shí)，還為申請(qǐng)人提供了一項(xiàng)額外的服務(wù)。在Official Journal June 2016中的Notice from the European Patent Office dated 30 June 2016 concerning refunds of the examination fee (Article 11 of the Rules relating to Fees)中規(guī)定：

"To enable applicants to fully benefit from this refund, for certain files and if operationally possible the Office will inform them, at least two months beforehand, of the date on which it intends to start substantive examination."

由此可知，對(duì)于某些歐洲專利申請(qǐng)，在可操作的情況下，EPO會(huì)在開(kāi)始substantive examination之前的至少兩個(gè)月向申請(qǐng)人發(fā)送一份通知（EPO form 2919），告知申請(qǐng)人該案將要進(jìn)入substantive examination。

申請(qǐng)人只需要在該EPO form 2919提及的日期之前使得該歐洲專利申請(qǐng)被撤回或處于被視為撤回的狀態(tài)，便可以得到EPO退還的全部審查費(fèi)。

Article 11(a) RFees的相關(guān)問(wèn)題解決了，那我們?cè)賮?lái)看一下Article 11(b) RFees。在Article 11(a) RFees規(guī)定了三種情形：歐洲專利申請(qǐng)被撤回、被駁回或者被視為撤回；而Article 11(b) RFees僅規(guī)定了一種情形：歐洲專利申請(qǐng)被撤回。在Official Journal June 2016中的Notice from the European Patent Office dated 30 June 2016 concerning refunds of the examination fee (Article 11 of the Rules relating to Fees)中規(guī)定：

"Under Article 11(b) RFees as amended, 50% of the examination fee is refunded if the application is withdrawn before expiry of the time limit for replying to the first examining division communication under Article 94(3) EPC. Applicants will get this refund if they actively withdraw their application, but not if it is refused or deemed withdrawn after substantive examination has begun."

由此可知，該Notice明確了歐洲專利申請(qǐng)?jiān)趯?shí)質(zhì)審查開(kāi)始后被駁回或者被視為撤回的情形不包括在Article 11(b) RFees中。

對(duì)于歐洲專利申請(qǐng)?jiān)趯?shí)審審查開(kāi)始后被駁回的情況，根據(jù)Article 52 EPC和Article 97 EPC的規(guī)定，如果在實(shí)質(zhì)審查開(kāi)始后該歐洲專利申請(qǐng)被駁回，則說(shuō)明EPO不認(rèn)同申請(qǐng)人在檢索報(bào)告基礎(chǔ)上做出的爭(zhēng)辯或修改，認(rèn)為該歐洲專利申請(qǐng)不滿足可授權(quán)條件，因此駁回該歐洲專利申請(qǐng)。這時(shí)說(shuō)明該歐洲專利申請(qǐng)的審查程序已經(jīng)結(jié)束了，EPO理所當(dāng)然不會(huì)退還審查費(fèi)的50%。

對(duì)于歐洲專利申請(qǐng)?jiān)趯?shí)質(zhì)審查開(kāi)始后被視為撤回的情況，Article 11(b) RFees規(guī)定的退還審查費(fèi)的兩種情形中，均要求在規(guī)定的答復(fù)期限結(jié)束之前該歐洲專利申請(qǐng)被撤回。如果申請(qǐng)人打算將EPO下發(fā)的first invitation或者communication置之不理（allow it to lapse by simply not filing a reply within the time limit set in the communication），以使得EPO根據(jù)Article 94(4) EPC向申請(qǐng)人下發(fā)該歐洲專利申請(qǐng)視為撤回的通知。而該歐洲專利申請(qǐng)視撤通知的發(fā)文日肯定是在EPO下發(fā)的the first invitation或者communication所規(guī)定的期限之后了，此時(shí)也就不落入Article 11(b) RFees范圍了。因此EPO不需要向申請(qǐng)人退還審查費(fèi)的50%。

綜上所述，如果申請(qǐng)人在提交歐洲專利申請(qǐng)的同時(shí)已經(jīng)提出了實(shí)質(zhì)審查請(qǐng)求，但在該專利申請(qǐng)被審查的過(guò)程中，不想繼續(xù)維持該專利申請(qǐng)，那么就要分情況把握機(jī)會(huì)，爭(zhēng)取可以獲得全部或者部分EPO退還的審查費(fèi)。

來(lái)源：IPRdaily中文網(wǎng)（IPRdaily.cn）

作者：閆彥飛  北京品源專利代理有限公司

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