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Case Law of the Boards of Appeal – Case Law of the Boards of Appeal of the European Patent Office
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V. Proceedings before the Boards of Appeal

Overview

V. PROCEEDINGS BEFORE THE BOARDS OF APPEAL

You are viewing the 9th edition (2019) of this publication; for the 10th edition (2022) see here

A.Appeal procedure

1.Legal character of appeal procedure
1.1.General
1.2.‍‍Rules of Procedure of the Boards of Appeal (RPBA)
1.3.Suspensive effect of the appeal
1.4.Devolutive effect of the appeal
1.5.Accelerated processing before the boards of appeal
2.Filing and admissibility of the appeal
2.1.Transitional provisions
2.2.Appealable decisions
2.2.1Departments
2.2.2Decisions
 a) Examples of appealable decisions
 b) Examples where the communication was not an appealable decision
2.2.3Interlocutory decisions
2.2.4Appeals against decisions of the boards of appeal
2.3.Board competent to hear a case
2.3.1Technical or Legal Board of Appeal
 a) General
 b) Technical board of appeal competent
 c) Legal Board of Appeal competent
2.3.2Specific cases
 a) Interruption of proceedings
 b) Request for a search-fee refund
2.4.Entitlement to appeal
2.4.1Formal aspects under Article 107 EPC
 a) Appeal filed by wrong company
 b) Appeal filed in name of representative
 c) Party consisting of plurality of persons
 d) Company in receivership
 e) Death of the appellant (opponent)
2.4.2Party adversely affected (Article 107 EPC)
 a) General
 b) Patent applicant
 c) Patent proprietor
 d) Opponent
2.4.3Procedural status of the parties
 a) Parties to appeal proceedings
 b) Rights of parties under Article 107 EPC
 c) The boards' duty of impartiality in inter partes proceedings
 d) Existence of a company
2.5.Form and time limit of appeal
2.5.1Electronic filing of appeal
2.5.2Form and content of notice of appeal (Rule 99(1) EPC)
 a) ‍‍Rule 99(1)(a) EPC
 b) ‍‍Rule 99(1)(b) EPC
 c) ‍‍Rule 99(1)(c) EPC
 d) ‍‍Rule 99(3) EPC
2.5.3Appeal filed within the time limit
2.5.4Payment of appeal fee
2.6.Statement of grounds of appeal
2.6.1Legal provisions
2.6.2Form of statement of grounds of appeal
2.6.3Content of the statement of grounds of appeal
 a) General
 b) Causal relationship
 c) Refusal of the application
 d) Statement of the legal or factual reasons
 e) Grounds to be analysed vis-à-vis reasons in decision
 f) Objection not raised at first instance
 g) Duty of board to be impartial
2.6.4References
 a) References to earlier submissions
 b) References to other documents
2.6.5New case raised
 a) Appeal based on the same ground for opposition
 b) New facts and evidence
 c) Amended claims filed
2.6.6Arguments need not be new or relevant
2.6.7Exceptional circumstances warranting admissibility of appeal
 a) Immediately apparent the contested decision cannot be supported
 b) Patent proprietor requests revocation
 c) Substantial procedural violation
2.6.8No partial admissibility of appeal
2.7.Admissibility of appeal to be checked in every phase of appeal proceedings
2.8.Cases where admissibility of appeal need not be considered
2.9.Interlocutory revision
2.9.1General
2.9.2The department of first instance's obligation to rectify the decision
3.Substantive examination of the appeal
3.1.Binding effect of requests – no reformatio in peius
3.1.1Reformatio in peius does not apply separately to each point
3.1.2Reformatio in peius and devolutive effect of appeal
3.1.3Cases where reformatio in peius does not apply
3.1.4Exceptions to reformatio in peius to be construed narrowly
3.1.5Patentee as sole appellant
3.1.6Opponent as sole appellant
3.1.7Revocation of patent
3.1.8Exceptions to the rule
3.1.9Reformatio in peius and lack of cross-appeal in the EPC
3.2.Subject-matter under examination
3.2.1Opposition appeal proceedings
 a) Admissibility of opposition
 b) The notice of appeal
 c) Unopposed subject-matter not reviewed
 d) Dependent claims
 e) Appeal by patentee against revocation
 f) Removal of references in dependent claims
 g) Abandonment of subject-matter
 h) Fresh ground for opposition on appeal
 i) Ground not properly substantiated by the patentee
 j) Ground not properly substantiated by the opponent
 k) Ambiguities in the claims
3.3.Patentability requirements under examination in ex parte proceedings
3.4.Facts under examination – applying Article 114 EPC in appeal proceedings
3.4.1Boards to examine facts of own motion
3.4.2Circumstances where the board need not examine facts of its own motion
3.5.Review of first-instance discretionary decisions
3.5.1Principles applying to the review of first-instance discretionary decisions
 a) General
 b) Proper exercise of discretion
 c) Review of first-instance discretionary decisions taken on substantive grounds
3.5.2Development of the case law on reviewing first-instance discretionary decisions
 a) Early case law on exercising discretion
 b) Recent case law on exercise of discretion under Art. 12(4) RPBA 2007
3.5.3The boards' own discretion
 a) Submissions refused at first instance admitted on appeal
 b) Submissions not admitted by the boards
 c) Discretion misused by the department of first instance
3.5.4Submissions admitted at first instance are part of the appeal proceedings
3.5.5Review of an opposition division's discretionary decision (not) to admit a new ground for opposition
3.5.6Review of discretion – stay of proceedings
4.New submissions on appeal
4.1.Introduction
4.1.1Legal basis
4.1.2‍‍Rules of Procedure of the Boards of Appeal (RPBA)
4.2.Principles applying to late submissions
4.2.1Inter partes proceedings
4.2.2Ex parte proceedings
4.3.The boards' discretion
4.4.State of proceedings
4.4.1General
4.4.2Procedural economy
 a) Late-filed requests
 b) Late-filed facts and evidence
4.5.Amendments after arrangement of the oral proceedings
4.5.1Late-filed requests
 a) Filing of requests after arrangement of the oral proceedings
 b) Filing of requests during the oral proceedings
4.5.2Late-filed documents and evidence
4.5.3Absence from the oral proceedings
 a) Absence of applicant (patent proprietor) from oral proceedings
 b) Absence of opponent from oral proceedings
4.5.4New submissions after the end of oral proceedings
4.6.Parties' right to submit observations on amendments – Article 13(2) RPBA 2007
4.7.Communication of a board of appeal
4.8.Circumstances extraneous to proceedings
4.8.1Introduction
4.8.2Change of representative
4.8.3Illness of representative
4.8.4Change of ownership
4.8.5Business reasons
4.9.New submissions in proceedings resumed before the boards
4.10.Late submission of new arguments and lines of attack
4.10.1New arguments on appeal
4.10.2New arguments and lines of attack admitted
4.10.3New arguments and lines of attack not admitted
4.10.4Reinforcement of arguments
4.11.‍‍Article 12(4) RPBA 2007
4.11.1General principles
4.11.2Relationship between Article 12(4) and Article 13 RPBA 2007
4.11.3Inter partes appeal procedure
 a) Not filing documents and evidence at first instance
 b) Documents and evidence not admitted by the opposition division
 c) Documents and evidence admitted under Art. 12(4) RPBA 2007
 d) Requests not submitted by proprietor in opposition proceedings
 e) Broadening of claims considered by the opposition division
 f) Resubmission of requests withdrawn at opposition stage
 g) Request admitted as a normal procedural development
4.11.4Ex parte appeal procedure
 a) Admission of requests already refused by the examining division
 b) Requests not submitted in examination proceedings
 c) Resubmission of requests withdrawn during examination
 d) Feature re-introduced on appeal
 e) Interlocutory revision
4.12.Criteria for consideration of amended claims
4.12.1Principles applicable to amended claims
4.12.2Clear allowability of amended claims
 a) General
 b) Examples
4.12.3Response to objections
4.12.4Converging or diverging versions of claims
4.12.5Unsubstantiated requests
4.12.6Discretion to admit amended claims at any stage of the appeal proceedings
4.12.7Last chance
4.12.8Change of subject-matter
4.12.9Need for additional search
 a) General
 b) Features taken from the description – Art. 13(3) RPBA 2007
 c) Carrying out an additional search
4.12.10Dependent claims
4.12.11Number of auxiliary requests
4.12.12Amended claims not admitted with divisional applications pending
4.12.13Reinstating broader claims in appeal proceedings
4.12.14Patent revocation
4.13.Criteria for considering late-filed facts and evidence
4.13.1Legitimate reaction to the first-instance decision
 a) General
 b) Late-filed submissions admitted
 c) Evidence of common general knowledge
4.13.2Relevance
4.13.3Complexity of new subject‑matter
4.13.4Cases of abuse of procedure
 a) No abuse of procedure
 b) Abuse of procedure (yes)
4.13.5Late submission of experimental data
 a) Test reports admitted into the proceedings
 b) Test reports not admitted into the proceedings
4.13.6Public prior use
 a) No consideration of late-filed evidence of public prior use
 b) Consideration of late-filed evidence of public prior use
4.13.7Admission of submissions relating to Article 55(1)(a) EPC
5.Parallel proceedings
6.Termination of appeal proceedings
6.1.Closure of the substantive debate
6.1.1Decision taken as the file stands
6.1.2Proceedings after delivery of the decision
6.2.Interlocutory decisions of a board
6.3.Withdrawal of the appeal
6.3.1‍‍Article 114(1) EPC and withdrawal of the appeal
6.3.2Board's duty to issue decision when appeal is withdrawn after the decision is announced
6.3.3Board's powers to decide on issues after withdrawal of the appeal
6.3.4Partial withdrawal of appeal by sole appellant and opponent
6.3.5No withdrawal of appeal with retrospective effect
6.3.6Request for withdrawal of appeal to be unambiguous
6.3.7Conditional withdrawal of appeal
6.3.8Correction of withdrawal of appeal under Rule 139 EPC
6.4.Deemed withdrawal of patent application
7.Remittal to the department of first instance
7.1.General
7.2.Exercise of discretion to remit
7.2.1No absolute right to have issue decided on at two instances
7.2.2TRIPS
7.2.3Criteria applied when exercising discretion
7.3.Procedural economy
7.3.1Delay in procedure
7.3.2Final decision after patent expiry
7.3.3Obiter dicta
7.3.4Requests for remittal
7.3.5Commercial uncertainty
7.3.6Presentation of new points of view
7.4.Non-examined patentability issues
7.5.Remittal where new submissions filed on appeal
7.5.1Admission of new submissions alters legal and factual framework
7.5.2Opposition appeal proceedings
7.5.3Ex parte appeal proceedings
7.5.4Patent at risk
7.5.5Remittal to department of first instance ordered
7.5.6No remittal to department of first instance
7.6.Remittal following substantial amendments to claims
7.7.Remittal following fundamental deficiencies
7.7.1Legal basis
7.7.2Fundamental deficiencies
 a) Violation of right to be heard
 b) Reasons for decision deficient
 c) Violations of Article 19(2) EPC (composition of the opposition division)
 d) Appellant adversely affected
 e) Content of requests unclear
 f) Failure to hold oral proceedings
 g) Witnesses not heard
7.7.3Special reasons not to remit under Article 11 RPBA 2007
 a) Special reason identified – no remittal to department of first instance
 b) No special reasons – remittal to department of first instance
7.8.Remittal for adaptation of the description
8.Binding effect of decision remitting case to department of first instance
8.1.Notion of res judicata
8.2.Department of first instance bound by decision of board of appeal
8.3.Binding effect in opposition proceedings after remittal to an opposition division
8.4.Board of appeal bound in subsequent appeal proceedings following remittal
8.5.Remittal for the continuation of proceedings
8.6.Remittal only for adaptation of the description
8.7.Remittal to a differently composed department of first instance
9.Reimbursement of appeal fees
9.1.Introduction
9.2.Examination ex officio
9.3.Appeal deemed not to have been filed or inadmissible appeal
9.3.1Appeal deemed not to have been filed due to late payment of the appeal fee
9.3.2Notice of appeal not filed in due time but appeal fee paid within 2 month period
9.3.3Appeal inadmissible
9.3.4Inadmissible or deemed not to be filed – diverging case law and G 1/18
9.3.5Translation of notice of appeal
9.3.6No legal ground for payment
9.3.7Reimbursement of the appeal fee in case of a request for re-establishment
9.3.8No legal basis for retaining appeal fee in case of intervention in opposition appeal proceedings
9.3.9Several appellants
9.4.Allowability of the appeal
9.5.Substantial procedural violation
9.5.1Violation must be of a procedural nature
9.5.2Violation must be substantial and affect the entire proceedings
9.5.3Procedural violation must be committed by the department whose decision is under appeal
9.5.4Search
9.5.5Guidelines
9.5.6Request for interview
9.5.7Oral proceedings
 a) Failure to summon for oral proceedings
 b) Submissions of parties as response to summons
 c) No reasons for refusal of request for postponement
 d) No reasons for refusal of request to change location for oral proceedings
 e) Repeated postponements of oral proceedings
 f) Minutes
9.5.8Right to be heard
9.5.9Inadequate reasons given in the decision at first instance
9.5.10Error of judgment by a department of first instance
 a) Communications
 b) Wrong assessment of prior art or technical content
 c) Error in the application of the law
 d) Board reaches a different conclusion than the department of first instance
 e) Exercising of discretion
 f) Wrong procedure adopted
 g) Following earlier decisions
9.5.11Cases concerning the decision-making process and the decision
 a) Issuing of decision
 b) Content of decision
 c) Requests
 d) Amendments
 e) Signature on decision and minutes
 f) Composition of opposition division
9.5.12Partiality
9.5.13Suspensive effect of appeal
9.5.14Non-compliance with order of the board
9.5.15Referral pending before Enlarged Board
9.5.16Refusal of application on one ground only
9.5.17Cases concerning documentation and communications passing between the EPO and the parties
 a) Ambiguous communication or wrong form
 b) No reply to communication under Article 101 EPC
 c) Wrong type of communication
 d) Period set for opponent to reply to patentee's response
 e) Observations not forwarded to other party
 f) Appointment of professional representative
 g) Warning in relation to a grace period
9.6.Reimbursement of appeal fee in case of interlocutory revision
9.6.1Requirements
9.6.2Competence to decide on reimbursement
9.6.3Examining division should have rectified decision
9.6.4A rectification decision maintaining earlier decision
9.6.5Re-opening examination after rectification
9.7.Reimbursement must be equitable
9.7.1Causal link between substantial procedural violation and filing of appeal
9.7.2Conduct of appellant
 a) Reimbursement held not to be equitable
 b) Reimbursement held to be equitable
9.7.3Violation of the principle of the protection of legitimate expectations
9.8.Withdrawal of appeal
9.8.1Withdrawal of appeal under Rule 103(1)(b) EPC
9.8.2Withdrawal of appeal under Rule 103(2) EPC

B.Proceedings before the Enlarged Board of Appeal

1.Introduction
2.Referral under Article 112 EPC
2.1.General
2.2.Composition
2.3.Referral by a board of appeal
2.3.1General
2.3.2Discretion of the board
2.3.3Relevance of the referred question for the underlying case
2.3.4Question of law
2.3.5Pending proceedings
2.3.6Ensuring uniform application of the law
2.3.7Point of law of fundamental importance
2.4.Referral by the President of the EPO
2.4.1General
2.4.2Discretion of the President
2.4.3Differing decisions
2.4.4Two boards of appeal
2.5.Procedural issues
2.5.1Question already decided by the Enlarged Board
2.5.2Question already pending before the Enlarged Board
2.5.3Stay of first instance proceedings following a referral
2.5.4Stay of appeal proceedings following a referral
3.Petition for review under Article 112a EPC
3.1.General
3.2.Transitional provisions
3.3.‍‍Article 112a(1) EPC – adversely affected party entitled to file a petition for review
3.4.Scope of review by the Enlarged Board of Appeal
3.4.1‍‍Article 112a(2) EPC – grounds for a petition for review
3.4.2Grounds listed exhaustively
3.4.3No suspensory effect – review of substantive law excluded
3.5.Petitions for review of an interlocutory decision
3.6.Obligation to raise objections
3.6.1Purpose of Rule 106 EPC
3.6.2Requirements of a valid objection
 a) Recognisable immediately as an objection, defect clear and unambiguous
 b) Objection raised in good time by persons capable of validly doing so
 c) Different defects must be objected to and considered separately
3.6.3Examples of invalid objections
3.6.4Minutes as evidence that the objection was raised
3.6.5Objection could not have been raised
3.6.6Compliance with Rule 106 EPC left open
3.7.Contents of the petition for review
3.7.1Petition must be adequately substantiated
3.7.2Non-compliance with Rule 107 EPC and failure to remedy a deficiency
3.8.Time limit for filing a petition for review
3.9.‍‍Article 12(1) RPEBA – late-filed submissions in the review procedure
3.10.‍‍Rule 109 EPC – composition of the Enlarged Board and review procedure
3.10.1Composition of the Enlarged Board of Appeal
3.10.2Involvement of parties other than the petitioner in petition for review proceedings
3.10.3Group parties
3.10.4Procedural efficiency
3.11.Factual bases for the review – minutes and grounds for the decision
3.12.Burden of proof
3.13.Effects of a successful petition for review
3.13.1Decision of board of appeal set aside
3.13.2Replacement of board members
3.13.3Reimbursement of the fee for petitions for review
4.Grounds for petition for review
4.1.‍‍Article 112a(2)(a) EPC – alleged breach of Article 24 EPC
4.2.‍‍Article 112a(2)(b) EPC – person not appointed as a board member
4.3.‍‍Article 112a(2)(c) EPC – alleged fundamental violation of Article 113 EPC
4.3.1General
4.3.2"Fundamental" violation of Article 113 EPC – causal link and adverse effect
4.3.3No prior assessment of the merits of a submission
4.3.4Objective approach – board's intention irrelevant
4.3.5No obligation to provide detailed reasons for a decision in advance
4.3.6Boards' obligation to remain neutral
4.3.7Parties' obligation to participate actively in the appeal proceedings
4.3.8Reasons for a decision allegedly surprising
 a) No opportunity to comment, surprising reasons
 b) Grounds not emanating from the board
 c) Subjective surprise
 d) Reasoning formed part of the proceedings
4.3.9Timing of a decision allegedly surprising
4.3.10Consideration of the parties' arguments in the written decision
 a) Requirement to have comments considered
 b) No obligation to consider each and every argument
4.3.11Parties' obligation to know the case law, references to decisions
4.3.12No right to be heard separately on all requests
4.3.13No right to a further hearing at first instance
4.3.14No right to a referral under Article 112 EPC
4.3.15No right to a communication; communication allegedly misleading
4.3.16Late-filed submissions – boards' discretion under Article 13 RPBA 2007
4.3.17Alleged violation of Article 113(2) EPC
4.3.18Further examples of unsuccessful petitions
4.3.19Successful petitions under Article 112a(2)(c) EPC
4.4.‍‍Article 112a(2)(d) EPC – any other fundamental procedural defect
4.4.1‍‍Rule 104(a) EPC – failure to arrange requested oral proceedings
4.4.2‍‍Rule 104(b) EPC – failure to decide on a party's request
4.4.3Successful petition under Rule 104(b) EPC
4.5.‍‍Article 112a(2)(e) EPC – criminal act having an impact on a decision
5.Removal from office of a board member
5.1.General
5.2.Composition
5.3.Removal and judicial independence
5.4.Independence from disciplinary proceedings
5.5.Adversarial judicial proceedings
5.6.Publication of the decision
5.7.Reimbursement of costs

C.Proceedings before the Disciplinary Board of Appeal

1.Introduction
2.European qualifying examination
2.1.Formalities and conditions for enrolment
2.1.1Required qualification or equivalent knowledge
2.1.2Professional experience
2.2.Examination conditions
2.3.Marking the answer papers
2.4.Grades / passing the examination
2.5.Substantiation of EQE decisions
2.6.Appeals against decisions of the Examination Board and the Examination Secretariat
2.6.1Competence of the board of appeal
2.6.2Procedural aspects
 a) Time limit for appeal / rectification of decisions
 b) Payment of the appeal fee – method of payment
 c) Oral proceedings
2.6.3Objective review of the marks awarded
2.6.4Review of the marking of the EQE pre-examination
2.6.5Legitimate interest
2.6.6Complaints about the conduct of the examination – duties of the Examination Board
3.Disciplinary matters
3.1.Disciplinary measures
3.2.Appealability of decisions in disciplinary matters
4.Code of Professional Conduct
4.1.General professional obligations
4.2.Professional secrecy
4.3.Advertising
5.Appeals against decisions of the Disciplinary Board of Appeal
OJ Supplementary Publications
Case law 2021
Case law 2020

ABl. EPA 2021, Zusatzpublikation 2
OJ EPO 2021, Supplementary publication 2
JO OEB 2021, Publication supplémentaire 2

Case law 2019

ABl. EPA 2020, Zusatzpublikation 4
OJ EPO 2020, Supplementary publication 4
JO OEB 2020, Publication supplémentaire 4

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