patenting of software and business method inventions at the epo … · 2003-11-24 · 17.11.2003...

17.11.2003 ©EPO T. Karamanli 1

PatentingPatenting of Software and Business of Software and Business MethodMethod InventionsInventions at at thethe EPOEPO

Helsinki, 17 November 2003Helsinki, 17 November 2003

Theodora Theodora KaramanliKaramanli, , LawyerLawyerDirectorateDirectorate 5.2.1 Patent 5.2.1 Patent LawLawEuropean Patent Office, European Patent Office, MunichMunichTel: +49Tel: +49--8989--2399 51292399 5129Fax: +49Fax: +49--8989--2399 51532399 5153Email: Email: [email protected]@epo.org


EPO EPO practicepractice isis basedbased onon

ØØ European Patent Convention (EPC)European Patent Convention (EPC)

ØØ EPO EPO casecase lawlaw of of thethe BoardsBoards of Appealof Appeal


Art. 52(1) EPC Art. 52(1) EPC -- patentablepatentable inventionsinventions

European European patentspatents shallshall bebe grantedgranted forfor anyanyinventionsinventions whichwhich areare susceptiblesusceptible of of industrialindustrialapplicationapplication, , whichwhich areare newnew and and whichwhich involveinvolve an an inventiveinventive stepstep. .


Art. 52(2)(c), (d) EPC Art. 52(2)(c), (d) EPC –– exclusionsexclusions

(2) (2) TheThe followingfollowing in in particularparticular shallshall notnot bebe regardedregardedas as inventionsinventions withinwithin thethe meaningmeaning of of paragraphparagraph 1:1:

(c) (c) schemesschemes, , rulesrules and and methodsmethods forfor performingperformingmental mental actsacts, , playingplaying gamesgames oror doingdoing businessbusiness, , and and programsprograms forfor computerscomputers;;

(d) (d) presentationspresentations of of informationinformation..


Art. 52(3) EPC Art. 52(3) EPC –– exclusionsexclusions

(3) (3) TheThe provisionsprovisions of of paragraphparagraph 2 2 shallshall excludeexcludepatentabilitypatentability of of thethe subjectsubject--mattermatter oror activitiesactivitiesreferredreferred to in to in thatthat provisionprovision onlyonly to to thethe extentextent to to whichwhich a European patent a European patent applicationapplication ororEuropean patent European patent relatesrelates to such to such subjectsubject--mattermatteras suchas such..


EPO EPO casecase lawlaw of of thethe BoardsBoards of of AppealAppeal

Interpretation of „Interpretation of „inventioninvention““ in Art. 52(1) EPC in in Art. 52(1) EPC in generalgeneral::

ØØ „„inventioninvention“ “ impliesimplies a a requirementrequirement of of technicaltechnicalcharactercharacter

ØØ no no technicaltechnical charactercharacter àà inventioninvention excludedexcluded fromfrompatentabilitypatentability


EPO EPO casecase lawlaw of of thethe BoardsBoards of of AppealAppeal

TechnicalTechnical charactercharacter maymay bebe presentpresent whenwhen, e.g.:, e.g.:

ØØ a a technicaltechnical effecteffect isis achievedachieved;;

ØØ a a technicaltechnical problemproblem isis solvedsolved;;

ØØ technicaltechnical featuresfeatures areare defineddefined;;

ØØ implementationimplementation requiresrequires technicaltechnical considerationsconsiderations. .


IsIs itit possiblepossible to to getget a patent a patent forfor a a

computercomputer programprogram??


T 1173/97 and T 0935/97T 1173/97 and T 0935/97––IBM IBM (1)(1)

A A computercomputer programprogram ((claimedclaimed byby itselfitself oror as a as a

recordrecord on a on a carriercarrier) ) isis notnot excludedexcluded fromfrompatentabilitypatentability ifif thethe programprogram, , whenwhen runningrunning on a on a computercomputer, , bringsbrings aboutabout a a technicaltechnical effecteffect whichwhichgoesgoes beyondbeyond thethe „normal“ „normal“ physicalphysical interactionsinteractionsbetweenbetween thethe programprogram and and thethe computercomputer („(„furtherfurthertechnicaltechnical effecteffect“).“).


T 1173/97 and T 0935/97T 1173/97 and T 0935/97––IBM IBM (2)(2)

ExamplesExamples of „a of „a furtherfurther technicaltechnical effecteffect“:“:

ØØ controlcontrol of of thethe internalinternal functioningfunctioning of of thethe computercomputer;;

ØØ controlcontrol of an of an industrialindustrial processprocess;;

ØØ processingprocessing datadata representingrepresenting physicalphysical entitiesentities;;

ØØ organizingorganizing thethe managementmanagement forfor computercomputerresourcesresources..


EPO EPO casecase lawlaw relatedrelated to business to business methodsmethods

ØØ T 931/95 (Pension T 931/95 (Pension BenefitBenefit Systems Systems PartnershipPartnership) ) whichwhich refersrefers to T 1173/97 and T 935/97 (IBM)to T 1173/97 and T 935/97 (IBM)

ØØ T 1194/97 (Philips)T 1194/97 (Philips)

ØØ T 0769/92 (T 0769/92 (SoheiSohei))



business business methodmethod??


T 0931/95 T 0931/95 -- methodmethod claimclaim

ØØ the method claim only involves economic concepts and the method claim only involves economic concepts and practices of doing business;practices of doing business;

ØØ technical means are used for a purely nontechnical means are used for a purely non--technical purpose;technical purpose;

ØØ mere occurmere occurrrenceence of technical means does not turn the of technical means does not turn the method into an invention within the meaning of Art. 52(1) method into an invention within the meaning of Art. 52(1) EPC;EPC;

ØØ no technical effect achieved, no technical problem solved;no technical effect achieved, no technical problem solved;

ØØ method excluded from patentabilitymethod excluded from patentability


T 0931/95 T 0931/95 –– apparatusapparatus claimclaim

ØØapparatusapparatus claimclaim definesdefines a a concreteconcrete apparatusapparatusin in thethe sense of a sense of a physicalphysical entityentity, , manman--mademade forfora a utilitarianutilitarian purposepurpose

apparatus is an invention within themeaning of Art. 52(1) EPC.



business business methodmethod defineddefined asas

a a computercomputer programprogram??


Such a Such a claimclaim isis to to bebe examinedexamined

as a as a

computercomputer--implementedimplemented inventioninvention

T 1173/97 and T 0935/97 (IBM)T 1173/97 and T 0935/97 (IBM)


T 1194/97 T 1194/97 -- PhilipsPhilips

ØØ A A recordrecord carriercarrier havinghaving functionalfunctional datadata recordedrecordedthereonthereon isis notnot a a presentationpresentation of of informationinformation as as such and such and hencehence notnot excludedexcluded fromfrom patentabilitypatentability bybyArticleArticle 52(2)(d), (3) EPC.52(2)(d), (3) EPC.

ØØ TheThe recordrecord carriercarrier has has technicaltechnical functionalfunctional featuresfeatures((functionalfunctional datadata), ), whichwhich areare adaptedadapted to to cooperatecooperatewithwith correspondingcorresponding meansmeans in in thethe readread devicedevice..


GuidelinesGuidelines forfor Examination in Examination in thetheEPOEPO

TheThe last update of last update of thethe GuidelinesGuidelines, C, C--IV,2IV,2

((OctoberOctober 2001) 2001) reflectsreflects thethe currentcurrent patent patent

practicepractice, , whichwhich takestakes intointo accountaccount thethe aboveabove--

mentionedmentioned EPO EPO casecase lawlaw..


DiplomaticDiplomatic ConferenceConference 20002000

DiplomaticDiplomatic ConferenceConference 2000 2000

tooktook placeplace

fromfrom 20 to 29 November 2000 in 20 to 29 November 2000 in MunichMunich


DiplomaticDiplomatic ConferenceConference 2000 (1)2000 (1)

AmendedAmended ArticleArticle 52(1) EPC 52(1) EPC readsreads::

European European patentspatents shallshall bebe grantedgranted forfor anyanyinventionsinventions, , in all in all fieldsfields of technologyof technology, , whichwhich arearesusceptiblesusceptible of of industrialindustrial applicationapplication, , whichwhich areare newnewand and whichwhich involveinvolve an an inventiveinventive stepstep..

[i.e. [i.e. addingadding wordingwording fromfrom TRIPS TRIPS ArticleArticle 27(1)]27(1)]



ØØ Basic Basic ProposalProposal containedcontained thethe deletiondeletion of „of „programsprograms

forfor computerscomputers“ “ fromfrom ArticleArticle 52(2)(c) EPC.52(2)(c) EPC.

ØØ ItIt was was agreedagreed to to putput thethe issueissue on on thethe agendaagenda of of

anotheranother DiplomaticDiplomatic ConferenceConference

((thethe soso--calledcalled „„Second Second BasketBasket““).).



ResultResult of of thethe DiplomaticDiplomatic ConferenceConference diddid notnot

changechange thethe EPO EPO examinationexamination and and grantinggranting

practicepractice withwith regardregard to to computercomputer programsprograms

and business and business methodsmethods..


Preparatory activities Preparatory activities for EU Directivefor EU Directive

ØØ European Commission (EC) published a European Commission (EC) published a Green Paper in 1997Green Paper in 1997

ØØ EC published a FollowEC published a Follow--up Communication in up Communication in 19991999

ØØ European Commission launched a European Commission launched a consultation paper in October 2000consultation paper in October 2000


EC EC proposalproposalforfor EU EU DirectiveDirective

ØØEC EC mademade a a proposalproposal forfor EUEU--DirectiveDirective on on thethe patentibilitypatentibility of of computercomputer--implementedimplemented inventionsinventions (20 (20 FebruaryFebruary2002)2002)


Key Key issuesissues of of thethe EC EC proposalproposal in in comparisoncomparison withwith EPC and EPC and currentcurrent

EPO EPO practicepractice (1)(1)

ØØ Art. 2(a) Art. 2(a) –– definitiondefinition of of computercomputer--implementedimplementedinventionsinventions (CII) (CII) = EPO = EPO GuidelinesGuidelines CC--IV, 2.3IV, 2.3

ØØ Art. 2(b) Art. 2(b) –– „„technical contribution“ technical contribution“ = based on EPO practice= based on EPO practice

ØØ Art. 3 Art. 3 –– CII CII belongsbelongs to a to a fieldfield of technology of technology = EPO = EPO practicepractice and Art. 52(1) EPC 2000and Art. 52(1) EPC 2000




Art. 4 Art. 4 –– conditions for patentabilityconditions for patentability

ØØ Art. 4(1) Art. 4(1) = Art. 52(1) EPC = Art. 52(1) EPC

ØØ Art. 4(2) Art. 4(2) –– CII may involve an inventive step, only if it CII may involve an inventive step, only if it makes a "technical contribution“ makes a "technical contribution“ = EPO practice and case law= EPO practice and case law

ØØ Art. 4(3) Art. 4(3) –– assessing the technical contribution assessing the technical contribution




Art. 5 Art. 5 –– Form of claimsForm of claims

ØØ Claims allowable for product (i.e. programmed Claims allowable for product (i.e. programmed computer etc.) and process (i.e. process carried out computer etc.) and process (i.e. process carried out by a computer etc. through the execution of software) by a computer etc. through the execution of software) = EPO practice= EPO practice

ØØ Claims Claims notnot allowable for computer program per se, allowable for computer program per se, as record on a carrier or program productas record on a carrier or program product•• EPO practiceEPO practice


Report on the proposal (1)Report on the proposal (1)

ØØReport of the Committee on Legal Affaires Report of the Committee on Legal Affaires and the Internal Market drawn up by the and the Internal Market drawn up by the rapporteurrapporteur Arlene Mc Arlene Mc CarthyCarthy (18 June (18 June 2003)2003)



Report comprises:Report comprises:

ØØText proposed by the CommissionText proposed by the Commission

ØØAmendments by the Parliament Amendments by the Parliament commended by its commended by its rapporteurrapporteur



ØØProposed amendment 18 by the Proposed amendment 18 by the Parliament:Parliament:Art 5(2)Art 5(2) –– allowabilityallowability of computer program of computer program claimsclaims



““A claim to a computer program, on its A claim to a computer program, on its own, on a carrier or as a signal, shall be own, on a carrier or as a signal, shall be allowable only if such program would, allowable only if such program would, when loaded or run on a computer, when loaded or run on a computer, computer network or other programmable computer network or other programmable apparatus, implement a product or carry apparatus, implement a product or carry out a process patentable under Art.4 and out a process patentable under Art.4 and 4a”4a”


First reading in the EU ParliamentFirst reading in the EU Parliament

First reading of the proposal for a EU First reading of the proposal for a EU Directive in the European Parliament on Directive in the European Parliament on

23 September 200323 September 2003


Vote of the EU ParliamentVote of the EU Parliament

Vote of the European Parliament on Vote of the European Parliament on

24 September 200324 September 2003


Key Key IssuesIssues

ØØ Definition / Definition / scopescope

ØØ AssessmentAssessment of „of „technicaltechnical contributioncontribution““

ØØ Definition of „Definition of „technicaltechnical““

ØØ AllowabilityAllowability of „of „computercomputer programprogram claimsclaims““

ØØ RelationshipRelationship withwith copyrightcopyright lawlaw


TranspositionTransposition of EU of EU DirectiveDirective on on thethe

patentabilitypatentability of of computercomputer -- implementedimplemented

inventionsinventions ??


TheThe EndEnd

Thank You

patenting of software and business method inventions at the epo … · 2003-11-24 · 17.11.2003...

Documents