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R.137 EPC Amendment of the European patent application

(1)

Before receiving the European search report, the applicant may not amend the description, claims or drawings of a European patent application unless otherwise provided.

(2)

Together with any comments, corrections or amendments made in response to communications by the European Patent Office under Rule 70a, paragraph 1 or 2, or Rule 161, paragraph 1, the applicant may amend the description, claims and drawings of his own volition.

(3)

No further amendment may be made without the consent of the Examining Division.

(4)

When filing any amendments referred to in paragraphs 1 to 3, the applicant shall identify them and indicate the basis for them in the application as filed. If the Examining Division notes a failure to meet either requirement, it may request the correction of this deficiency within a period of one month.

(5)

Amended claims may not relate to unsearched subject-matter which does not combine with the originally claimed invention or group of inventions to form a single general inventive concept. Nor may they relate to subject-matter not searched in accordance with Rule 62a or Rule 63.

[ Art. 90 92 94 123 R. 57 58 62 65 68 70 71 80 161 ]

See opinion/decision of the Enlarged Board of Appeal G 3/89, G 11/91 (Annex I).

Amended by decision of the Administrative Council CA/D 3/09 of 25.03.2009 (OJ EPO 2009, 299), which entered into force on 01.04.2010.

Source: http://www.epo.org/law-practice/legal-texts/html/epc/2016/e/r137.html

Date retrieved: 17 May 2021

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EPC Articles

X A.90 EPC Examination on filing and examination as to formal requirements

X A.92 EPC Drawing up of the European search report

X A.94 EPC Examination of the European patent application

X A.123 EPC Amendments

EPC Implementing Rules

X Chapter VI Amendments and corrections

X R.57 EPC Examination as to formal requirements

X R.58 EPC Correction of deficiencies in the application documents

X R.62 EPC Extended European search report

X R.62a EPC Rule 62a Applications containing a plurality of independent claims

X R.63 EPC Incomplete search

X R.65 EPC Transmittal of the European search report

X R.68 EPC Form of the publication of European patent applications and European search reports

X R.70 EPC Request for examination

X R.70a EPC Rule 70a Response to the extended European search report

X R.71 EPC Examination procedure

X R.80 EPC Amendment of the European patent

X R.161 EPC Amendment of the application

EPO Guidelines Foreword

X GL FOREWORD 2.1 Overview

EPO Guidelines - A Formalities Examination

X GL A V 2.1 Filing of amendments

X GL A V 2.2 Examination of amendments as to formalities

X GL A VI 1.3 Content of the publication

X GL A VI 2.5 Refund of examination fee

EPO Guidelines - B Search

X GL B III 3.3.1 General considerations

X GL B III 3.5 Anticipation of amendments to claims

X GL B VIII 3.2.2 Reply in time

X GL B XI 2 Basis of the search opinion

X GL B XI 2.2 Applications containing claims filed after the accorded date of filing

X GL B XI 8 Reaction to the extended European search report (EESR)

EPO Guidelines - C Procedureal Aspects of Substantive Examination

X GL C I 4 Purpose of examination

X GL C II 3.1 Response to the search opinion

X GL C II 3.2 Response to PCT actions prepared by the EPO

X GL C III 1.1.2 Claims filed after accordance of a date of filing

X GL C III 2 Amendments made by applicants of their own volition

X GL C III 2.1 Amendments made in response to the search opinion

X GL C III 2.2 Amendments made in response to the WO‑ISA, IPER or supplementary international search report

X GL C III 2.3 Searches under Rule 164(2)

X GL C III 3.1.3 Invitation to pay additional search fees combined with invitation to restrict the scope of the search

X GL C IV 1 General procedure

X GL C IV 6 Admissibility of amendments made by the applicant

X GL C IV 7.2 Additional searches during examination

X GL C V 4.4 Admissibility of amendments

X GL C V 4.6 Amendments/corrections admitted and allowable – second Rule 71(3) communication sent

X GL C V 4.10 Amendments/corrections filed in second Rule 71(3) period

X GL C V 5 Further requests for amendment after approval

X GL C V 6.1 When does the examining division resume examination after approval?

X GL C VI 3 Further ways to accelerate examination

X GL C IX 1.4 Examination of a divisional application

EPO Guidelines - E General Procedural Matters

X GL E III 5.1 When can summons to oral proceedings be issued in substantive examination?

X GL E III 8.8 Use of Rule 137(4) for amendments filed during oral proceedings in examination

X GL E IX 2.1.3 Translation of the international application

X GL E IX 3.3.1 Earlier filed amendments or comments

X GL E IX 3.3.4 Voluntary reply to Rule 161(1) communication

X GL E IX 3.4 Rule 137(4) applies

X GL E IX 4.2 No examination of multiple inventions in EP phase

X GL E X 2.11 Refusal to admit amendments under Rule 137(3)

EPO Guidelines - F The European Patent Application

X GL F IV 3.3 Objection under Rule 43(2) or Rule 137(5)

X GL F V 6 Amended claims

EPO Guidelines - H Amendments and Corrections

X GL H II 2.1 Before receipt of the search report – Rule 137(1)

X GL H II 2.2 After receipt of the search report – Rule 137(2)

X GL H II 2.3 After receipt of the first communication – Rule 137(3)

X GL H II 2.3.1.1 Rule 137(3) in conjunction with Article 83

X GL H II 2.3.1.2 Rule 137(3) in conjunction with Article 123(2)

X GL H II 2.3.1.3 Rule 137(3) in conjunction with Article 84 – missing essential feature

X GL H II 2.4 At an advanced stage of the proceedings

X GL H II 2.5.1 Criteria for admitting such amendments

X GL H II 2.5.2 Further course of proceedings

X GL H II 2.5.3 Exceptional case where amendments must be admitted

X GL H II 2.5.4 Rule 137(4) applies to amendments filed at this stage

X GL H II 2.6 Further requests for amendment after approval

X GL H II 2.7 Late-filed requests after summons to oral proceedings in examination

X GL H II 2.7.1 Concept of "clear allowability"

X GL H II 5 Amendments required by a limitation of the search under Rule 62a and/or Rule 63

X GL H II 6 Amendments relating to unsearched matter – Rule 137(5)

X GL H II 6.1 Rule 62a and/or Rule 63 cases

X GL H II 6.2 Subject-matter taken from the description

X GL H II 7.1 Restriction to a single, searched invention

X GL H II 7.2 Restriction to an unsearched invention

X GL H III 1 Introduction

X GL H III 2.1 Indication of amendments and their basis under Rule 137(4)

X GL H III 2.1.1 Rule 137(4) communication and response thereto

X GL H III 2.1.2 Amendments withdrawn or superseded in the Rule 137(4) period

X GL H III 2.1.3 Rule 137(4) and oral proceedings

X GL H III 2.2 Amendment by submitting missing documents or by filing replacement pages

X GL H III 2.3 Amendments using copies

X GL H III 3.1.1 Sequence of requests

X GL H III 3.2 In the search phase

X GL H III 3.3.1 Indication of the amendments made in the requests and of their basis

X GL H III 3.3.2.1 Criteria for admissibility of auxiliary requests

X GL H III 3.3.3 Preparing the decision

EPO PCT GL - F (not assigned)

X GL-PCT FOREWORD 3.1 Annex I: EPC-PCT concordance table

EPO Guide for Applicants, part II Int. - C The EPO as ISA and SISA

X GA C5.4.3 5.4.3.

X GA C5.4.5 5.4.5.

X GA C5.4.6 5.4.6.

X GA C5.5.2 5.5.2.

Case Law Book: II Conditions to be met by an Application

X CLR II B 6.3 Applicability of Rule 64, (former) Rule 164(2) EPC or Rule 137(5) EPC

Case Law Book: III Amendments

X CLR III I 1 Possibility of filing auxiliary requests

X CLR III I 6.2 Rejection in advance of further request by examining division

X CLR III I 6.3 Practice of proposing one main and one or more auxiliary requests

X CLR III B 3.3 The requirement of a text agreed by the applicant

X CLR III C 4.4.2 Not the same subject of proceedings

X CLR III C 6.3.1 Examination and opposition proceedings

Case Law Book: IV Divisional Applications

X CLR IV B 1.1 Amendments made by the applicant of his own volition under Rule 137(2) EPC

X CLR IV B 2.6.1 Discretion of the examining division under Rule 137(3) EPC

X CLR IV B 2.6.2 Consent under Rule 137(3) EPC in oral proceedings

X CLR IV B 2.6.4 Reasons for the exercise of discretion

X CLR IV B 2.6.5 Second communication under Rule 71(3) EPC: the consent of the examining division

X CLR IV B 3.3.1 Amendments where Rule 71(3) EPC communication is the first communication

X CLR IV B 3.3.3 Criteria for admitting amendments filed in reply to the Rule 71(3) EPC communication

X CLR IV B 3.4 Amendment after approval of the text for grant

X CLR IV B 5.1 General issues

X CLR IV B 5.2 The purpose of Rule 137(5) EPC

X CLR IV B 5.3.1 General issues

X CLR IV B 5.3.2 Extent of the European search report

X CLR IV B 5.3.3 Subject-matter of amendment not combining with the originally claimed invention

X CLR IV B 5.4 Criteria for consent to amendments under R. 137(5) EPC

X CLR IV B 5.4.1 Amendment not affecting the notion of unity of invention

X CLR IV B 5.5 Non-compliance with Rule 137(5) EPC: a ground for refusing an application

X CLR IV C 4.3 Concept of "in due time"

X CLR IV C 5.1.1 Principles

X CLR IV C 5.1.3 Time frame for filing amendments

X CLR IV C 5.1.7 Applicability of Rule 137(5) EPC in opposition proceedings

Case Law Book: V Priority

X CLR V A 3.5.1.A General

X CLR V A 4.1.1 Legal basis

X CLR V A 4.11.4.A Admission of requests already refused by the examining division

X CLR V A 4.12.11 Number of auxiliary requests

X CLR V A 7.6 Remittal following substantial amendments to claims

X CLR V A 9.5.11.D Amendments

X CLR V A 9.6.3 Examining division should have rectified decision

Case Law of the Enlarged Board

X G 0003/89 (Correction under Rule 88, second sentence, EPC) of 19.11.1992

X G 0011/91 (Glu-Gln) of 19.11.1992

X G 0001/12 () of 30.4.2014

General Case Law

X J 0005/12 (Correction of application/JACKSON FOUNDATION) of 5.7.2013

X T 1064/04 () of 27.6.2008

X T 1420/06 () of 5.6.2009

X T 0789/07 (Mikrorechner-System/BOSCH) of 14.4.2011

X T 0852/07 () of 25.1.2008

X T 0937/07 (STEAM REFORMING/BATTELLE MEMORIAL INSTITUTE) of 28.8.2009

X T 1685/07 () of 4.8.2010

X T 1891/07 () of 13.3.2009

X T 0246/08 (Seismic sensor/SCHLUMBERGER) of 14.8.2008

X T 0980/08 (Internet-enabled boot loader/INTRINSYC SOFTWARE) of 14.3.2012

X T 1178/08 () of 9.5.2012

X T 1472/08 (Fungizide Triazolopyrimidine/BASF) of 8.2.2012

X T 1841/08 () of 9.10.2012

X T 2321/08 () of 11.5.2009

X T 0042/09 (Logical hierarchical data model/BOEING) of 10.3.2014

X T 0309/09 (Dateiwiedergabe/SWISSCOM) of 9.3.2012

X T 0573/09 () of 26.9.2012

X T 0690/09 (TCP offloading and uploading/BROADCOM) of 12.5.2010

X T 0926/09 (Component assemblies/INTERTRUST) of 4.9.2013

X T 0937/09 () of 20.7.2012

X T 1214/09 (Information managing device/SHARP) of 18.7.2014

X T 2289/09 () of 3.6.2014

X T 2355/09 (Multiple login methods/ACTIVCARD) of 4.7.2014

X T 0333/10 () of 17.7.2014

X T 0901/10 (Tracking electronic content/LEVEL 3) of 6.6.2014

X T 0983/10 (Customizable ornamental appearance/APPLE) of 29.11.2013

X T 1225/10 () of 11.1.2011

X T 1399/10 (Computer game software build/MICROSOFT) of 16.4.2015

X T 1679/10 () of 28.1.2016

X T 2219/10 (Request objects in display order/SAMSUNG) of 6.9.2016

X T 2311/10 () of 24.9.2012

X T 0359/11 () of 13.5.2015

X T 0442/11 () of 1.10.2012

X T 0507/11 () of 24.9.2012

X T 0509/11 () of 24.9.2012

X T 1285/11 (Polymorphs/PFIZER) of 15.12.2011

X T 1326/11 () of 4.5.2012

X T 1540/11 () of 26.7.2012

X T 1816/11 () of 22.11.2016

X T 1898/11 (Utterance retrieval/AT&T) of 27.7.2012

X T 2334/11 () of 24.5.2012

X T 0158/12 () of 25.10.2013

X T 0233/12 (Virtual machine instantiation/NOVELL) of 10.2.2015

X T 0573/12 (Automated process flow/SAP) of 8.5.2013

X T 0735/12 () of 8.6.2016

X T 0996/12 () of 14.3.2013

X T 1775/12 (Second oral proceedings/ADC Telecommunications) of 15.6.2015

X T 1788/12 () of 4.12.2013

X T 1981/12 () of 24.9.2013

X T 2248/12 (Functional Apo-2 ligand variants suitable for PEGylation/GENENTECH) of 29.10.2015

X T 2294/12 (Chaux partiellement prÃ©-hydratÃ©e/CARMEUSE) of 12.1.2016

X T 2340/12 () of 15.3.2018

X T 2459/12 () of 17.10.2013

X T 0145/13 () of 10.2.2017

X T 0345/13 () of 1.12.2014

X T 1265/13 (Biological sample storage/BIOMATRICA) of 26.10.2016

X T 1354/13 () of 30.4.2014

X T 1485/13 () of 22.2.2016

X T 1503/13 () of 4.7.2017

X T 1929/13 (Information recording and reproduction/SHARP) of 16.7.2014

X T 0736/14 (Selecting invention to be examined/QUALCOMM) of 25.2.2016

X T 0820/14 (Erfassen des Betriebsmittelverbrauchs/GIESECKE & DEVRIENT) of 29.11.2016

X T 0918/14 () of 2.11.2016

X T 0998/14 () of 24.6.2015

X T 1817/14 (Expert system/SCHINDLER) of 4.7.2017

X T 2001/14 () of 16.6.2015

X T 2324/14 (Optimizing source code/SAP) of 4.10.2017

X T 0575/15 (Process control configuration/WONDERWARE) of 2.10.2017

X T 2026/15 (Training method/PUCHER) of 17.4.2018