Article 84 of the European Patent Convention (EPC) specifies that the "matter" for which patent protection is sought, i.e. requested, in an application - the purported invention - shall be stated ("defined") in the claims. This legal provision also requires that the claims must be clear and concise, and supported by the description. The function, form and content of the claims are defined by Article 84 supplemented by . Nicholas Fox, A Guide to the EPC 2000, CIPA, page 74, .
The wording of Article 84 is as follows: The claims shall define the matter for which protection is sought. They shall be clear and concise and be supported by the description.
Rationale The EPC requires that the claims be clear (for example the claim wording cannot be obscure) and define the matter for which protection is sought in terms of the technical features of the invention., The rationale behind this requirement is to ensure that the public is not left in any doubt as to which subject-matter is covered by a particular patent and which is not.See for instance: "In order to ensure that the public is not left in any doubt as to which subject-matter is covered by a particular patent and which is not, Article 84 EPC in combination with Rule 43(1) EPC requires that the claims shall be clear and define the matter for which protection is sought in terms of the technical features of the invention. A claim does not, therefore, fulfil the requirement of clarity if there is doubt as to the subject-matter it may cover (see case Law of the Boards of Appeal, 5th edition 2006, II.B.)" in Decision T 528/06 of 3 December 2008, Reasons 1. "The purpose of claims under the EPC is to enable the protection conferred by the patent (or patent application) to be determined (...), and thus the rights of the patent owner within the designated Contracting States (...)." in G 2/88 (Friction reducing additive) of 11 December 1989, point 2.5. "Article 84 EPC stipulates that the claims shall be clear and define the matter for which protection is sought. Those requirements serve the purpose of ensuring that it is possible to assess whether or not a given subject-matter falls within the ambit of a particular claim." in T 514/14 of 21 July 2017, reasons 2, first paragraph. That is, the scope of protection must be well-defined.See for example Decision T 359/12, reasons 3.3.2, last paragraph, last sentence: "Since the person skilled in the art cannot conclude in an objective way whether a particular "actual" detection zone boundary qualifies as being "trapezoidal or substantially rectangular", the scope of protection is not well-defined contrary to the requirements of Art. 84 EPC 1973." The clarity requirement therefore plays an important role in providing legal certainty for third parties to determine whether they are infringing or could infringe a patent, so as in turn to be able to make the most informed economic decisions as possible (such as taking a license, designing around, refraining from entering a market, etc.).
Clarity According to the established case law of the EPO boards of appeal, the claims must be clear "in themselves when being read with the normal skills, but not including any knowledge derived from the description of the patent application ...".See for instance: "On the one hand, Article 84 requires that the claims shall be clear. "This implies that the claims must be clear in themselves when being read with the normal skills, but not including any knowledge derived from the description of the patent application ..." (T 0908/04 of 15 February 2006, point 3.5 of the reasons). Therefore, a reference in the description can generally not render an otherwise unclear claim clear." in Decision T 1819/07 of 15 March 2011, Reasons 3.4.1; "(...) the claims must be clear in themselves when read by the skilled person" in "Characterisation of an invention by a parameter"; "In decision T 454/89 the board shared this view and explained that Art. 84 EPC 1973 requires that claims must be clear in themselves when read using normal skills, including knowledge of the prior art but not any knowledge derived from the description contained in the patent application or the amended patent." and "The clarity stipulation under Art. 84 EPC 1973 concerned only the claims, and therefore – according to the established case law of the EPO boards of appeal – required that they be clear in themselves, without there being any need for the skilled person to refer to the description." in "Use in the examination relating to the clarity requirement pursuant to Article 84 EPC" In other words, the wording of a claim must be clear in itself.
As mentioned above, a claim must define the matter for which the protection is sought in terms of the technical features of the invention. These technical features need not necessarily be structural however; they may also be functional. Structural features may for example consist in a nail, a screw or a rivet, whereas functional features define the suitability for performing certain functions, such as for example fastening means.: "Technical features"T 1098/14, Reasons 5.
The scope of the claims must also not be "broader than is justified by the extent of the description and also the contribution to the art".Decision T 1486/08 of 23 February 2012, Reasons 1.4, referring to T 0409/91, OJ EPO 9/1994, 653, Reasons 3.2, penultimate sentence and Reasons 3.3, second sentence. "[T]his requirement reflects the general legal principle that the extent of the patent monopoly, as defined by the claims, should correspond to the technical contribution to the art in order for it to be supported, or justified."Decision T 409/91 dated 18 March 1993 (OJ EPO 9/1994, 653), Reasons 3.3, second sentence.
Implementing regulations
Rule 43(1) EPC notably imposes that an independent claim should be drafted in a two-part form, including a preamble and a characterizing part. The preamble, which is sometimes also called "pre-characterizing portion",See for instance "The pre-characterising portion of the claim is based on..." in Decision T 0443/11 of 30 January 2012, item 2.1. includes all the features of the claim that in combination are known in a prior art document, namely the closest prior art. The characterizing part includes the other features, i.e., those not known in the prior art document used to draft the claim in a two-part form. The two-part form required by Rule 43(1) should be complied with "wherever appropriate". This manner of claiming an invention is also prescribed, in a similar manner, in the Patent Cooperation Treaty, namely in .
Rule 43(2) EPC A plurality of independent claims in the same claim category are only allowable in the exceptional circumstances listed in Rule 43(2)(a), (b) and (c). The applicant has the burden of showing "that one of the exceptions under Rule 43(2) EPC apply".Decision T 0592/15 (Polymeric core-shell nanoparticles/BRIDGESTONE) of 26.11.2018, at 2.2.3: "In the case of more than one independent claim per category, the applicant bears the burden to show that one of the exceptions under Rule 43(2) EPC apply (T 1388/10, Reasons 7.2 and 7.3 citing T 56/01, Reasons 5)." Rule 43(2) is only applicable during examination proceedings, not in opposition proceedings.Decision T 263/05 dated June 28, 2007, Headnote II.1
Rule 62a EPC, which entered into force on April 1, 2010,Decision of the Administrative Council of 25 March 2009 amending the Implementing Regulations to the European Patent Convention (CA/D 3/09), Article 2(1). provides the opportunity for the EPO to invite the applicant to comply with Rule 43(2) before the search is carried out. This was not foreseen under the former regulations.EPO web site, Notice from the European Patent Office dated 15 October 2009 concerning amendments to the Implementing Regulations to the European Patent Convention (EPC) , 15 October 2009, point 2.1. Under the new rules, if the claims as filed in a European patent application contain a plurality of independent claims in the same claim category and if the EPO considers in that case that the claims therefore do not comply with Rule 43(2) EPC, the EPO may "invite the applicant to indicate, within a period of two months, the claims complying with Rule 43, paragraph 2, on the basis of which the search is to be carried out." "If the applicant fails to provide such an indication in due time, the search shall be carried out on the basis of the first claim in each category".Decision of the Admin. Council, CA/D 3/09, Article 1.1. A Rule 62a EPC objection may however be contested by the applicant in its reply to the search division or, later, before the examining division.EPO web site, Notice from the EPO dated 15 October 2009 concerning amendments to the Implementing Regulations to the EPC, 15 October 2009, point 2.2. If the search division finds that its initial objection was not justified in view of the applicant's arguments, the search will then be carried out on an unlimited basis. The examining division may also override the assessment of the search division. Otherwise, the claims will have to be restricted, during examination, to the subject-matter searched.New rule 62a(2) EPC. See Decision of the Admin. Council, CA/D 3/09, Article 1.1.
This amendment to the Implementing Regulations of the EPC is part of the so-called "raising the bar" initiative, with the claimed aim "to improve the quality of incoming patent applications and streamline the grant procedure".EPO web site, Notice from the EPO dated 15 October 2009 concerning amendments to the Implementing Regulations to the EPC, 15 October 2009, 1. Introduction.
Applicability of Article 84 EPC in opposition and revocation proceedings Article 84 EPC is neither a ground of opposition under nor a ground for revocation under .See for instance: Decision T 0075/09 of 13 September 2011, Reasons for the Decision 2.8, 2nd and 3rd paragraphs: "... a deficiency concerning the requirements of Article 84 EPC is neither a ground for opposition before the EPO under Article 100 EPC nor a ground for revocation under Article 138(1) EPC. Consequently, such a deficiency cannot be dealt with, let alone remedied in either proceedings. Reference can be made in this respect to established jurisdiction, namely to the Decision of the Enlarged Board of Appeal G 9/91, (OJ EPO 1993, 408, No. 19 of the reasons) and e.g. Decisions T 301/87 (OJ EPO 1990, 335, No. 3.8 of the reasons) and T 690/00 of 20 February 2002 (No. 4.1 of the reasons; not published in OJ EPO, cf. also Chapter VII.D.4.2 in the Case Law of the Boards of Appeal of the EPO, 6th edition, 2010)." Article 84 may however play a role in opposition proceedings, by virtue of , if the patent proprietor amends the claims.David Rogers, , Journal of Intellectual Property Law & Practice, 2007, Vol. 2, No. 8, p. 502. In 2015, the Enlarged Board of Appeal held in G 3/14 that "the clarity of the amended claims of a patent may be examined in opposition proceedings only when, and then only to the extent that the amendment introduces non-compliance with Article 84 EPC."
Interpretation of the claims in opposition proceedings
In opposition proceedings, if the claims of the opposed patent are sufficiently clear for a skilled person to understand them without difficulty, then there is no reason to consult the description to interpret the claims.See for instance: "Although a claim must not be interpreted in a way which is illogical or does not make any sense, the description cannot be used to give a different meaning to a claim feature which in itself imparts a clear credible technical teaching to the skilled reader..." in Decision T 1018/02 of 9 December 2003, Catchwords. (T 1018/02 is cited with approval in decision T 0369/10 of 1 October 2012, reasons 2.1.2, second paragraph.)