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V. Proceedings before the Boards of Appeal
  1. Home
  2. Legal texts
  3. Case Law of the Boards of Appeal
  4. Case Law of the Boards of Appeal of the European Patent Office
  5. V. Proceedings before the Boards of Appeal
  6. A. Appeal procedure
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A. Appeal procedure

Overview

A. Appeal procedure

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

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
New decisions
T 646/20

Addition of further Designation States after grant (no)

T 247/20

Oral proceedings would serve no purpose if the parties were limited to present a mere repetition of the arguments put forward in writing. Instead, parties must be allowed to refine their arguments, even to build on them provided they stay within the framework of the arguments, and of course the evidence, submitted in a timely fashion in the written proceedings.

T 3247/19

Special reasons within the meaning of Article 11, 1st sentence RPBA 2020 for remitting a case to the department whose decision was appealed for further prosecution (see points 8 to 12 of the Reasons)

T 2277/19

T 1003/19, T 2081/16 not followed

T 1857/19

Regarding the question under which circumstances the mere deletion of a category of claims is not to be considered an amendment of a party's appeal case or could - at least - be seen as exceptional circumstances under Article 13(2) RPBA 2020, see reasons 1.1

T 1060/19

The declaration of entitlement mentioned in the Notice of 18 December 2017 concerning the reduced appeal fee can be filed until the end of the appeal period, despite the wording of point 4, last sentence, of the Notice, which must be reconciled with the meaning of point 11 of the Notice.

T 317/19

An error in a duly filed form for paying the appeal fee may be corrected under Rule 139, first sentence, EPC (Reasons, points 2.3 to 2.5).

T 184/19

Reasons 6.2 to 6.4

T 158/19

Un recours formé par une partie à la procédure et aux prétentions de laquelle la décision attaquée n'avait pas fait droit est recevable malgré le fait qu'en même temps une autre société qui n'était pas partie à la procédure a formé conjointement le recours (motifs 1.4).

T 2988/18

See point 1.4

T 2884/18

Ein vollständiger Sachvortrag, wie ihn Artikel 108 EPÜ und Artikel 12 VOBK seit jeher verlangen, erfordert bei kumulativ aufeinander aufbauenden Argumentationslinien die Darlegung sämtlicher Tatsachen, die erst gemeinsam das behauptete rechtliche Ergebnis tragen (hier: Offenkundigkeit der Vorbenutzung und neuheitsschädliche Vorwegnahme aller Merkmale der Erfindung durch diese bei Beschwerde gegen die Einstufung einer Erfindung als neu im Sinne von Artikel 54 EPÜ). Erst dann ist dargelegt, dass die Entscheidung aufgehoben werden sollte, vgl. T 922/05, Gründe Nr. 3 und 4, für den spiegelbildlichen Fall einer Beschwerde gegen eine Entscheidung, die mehrere alternative Gründe für die f e h l e n d e Patentfähigkeit einer Erfindung aufzählt. Wird von mehreren kumulativ zur Änderung der Entscheidung darzulegenden Tatsachen nur eine ausreichend substantiiert, ist die Beschwerde unzulässig.

T 2620/18

Zur Frage der Geringfügigkeit des Differenzbetrags zur vollen Beschwerdegebühr siehe Gründe Nr. 4.8. Zur Frage eines impliziten Antrags auf Berichtigung eines Abbuchungsauftrags sowie der Rechtszeitigkeit der Einreichung eines Berichtigungsantrags siehe Gründe Nr. 5.7 bis 5.14. Zur Frage der ex officio Korrektur von Beträgen in Abbuchungsaufträgen siehe Gründe Nr. 6.1 und 6.2. Zur Frage der Interpretation eines Abbuchungsauftrags hinsichtlich der Beschwerdegebühr siehe Gründe Nr. 8.4.

T 2558/18

Verweist eine Beschwerdekammer eine Angelegenheit zur Erteilung eines Patents in genau bestimmter Fassung, d.h. mit genau bezeichneten Ansprüchen, Beschreibung und Zeichnungen, an die Prüfungsabteilung zurück, so beruht die Entscheidung über die Fassung des Patents auf Artikel 111 (1) Satz 2, Variante 1, EPÜ. Diese Patentfassung ist für die Prüfungsabteilung in Anwendung des in Artikel 111 (2) EPÜ verankerten Rechtsgrundsatzes bindend (res iudicata, rechtskräftig), in deren Anwendung auch die Zurückverweisung erfolgt. Das Verfahren nach Regel 71 (6) EPÜ findet im Hinblick auf die sich aus Artikel 111 (2) EPÜ ergebende bindende Wirkung gemäß Artikel 164 (2) EPÜ keine Anwendung.

T 2455/18

see point 2.1.2 of the Reasons

T 2277/18

Die Bedingungen von G 1/99 für eine zulässige Ausnahme vom Verschlechterungsverbot gelten auch dann, wenn es sich bei der unzulässigen Änderung um einen nicht offenbarten Disclaimer handelt (Entscheidungsgründe 7).

T 2271/18

A clear and detailed preliminary opinion provided by a board - rather than merely "drawing attention to matters that seem to be of particular significance for the decision to be taken" (cf. Article 15(1), fourth sentence, RPBA 2020) - is predominantly intended to give the party(ies) an opportunity to thoroughly prepare their arguments in response to it but not to file new submissions, such as new sets of claims, and to thereby arguably shift the focus regarding the issues on file to be decided in appeal proceedings. In particular, amendments submitted in response to such a preliminary opinion cannot give rise to "exceptional circumstances" within the meaning of Article 13(2) RPBA 2020 (see point 3.3 of the Reasons).

T 2091/18

Das Streichen eines oder mehrerer unabhängiger Ansprüche stellt eine Änderung des Beschwerdevorbringens im Sinne von Artikel 13 (2) VOBK 2020 dar (siehe Punkte 3 und 4 der Entscheidungsgründe).

T 1414/18

(1) As to unity of invention under Article 82 EPC, only if the application relates to more than one "invention", the notion of "a single general inventive concept" under Article 82 EPC and the concept of the "same or corresponding special technical features" under Rule 44(1) EPC have to be assessed for the purpose of deciding upon unity of invention (see Reasons, point 1). (2) As to a refund of further search fees under Rule 64(2) EPC, the decision to refuse a patent application may be understood to implicitly contain the decision to refuse the refund of a further search fee, if the examining division's intent is clear (see Reasons, point 4). (3) A statement such as "the next procedural step will be summons to oral proceedings during which the application will be refused" made prior to a final decision to refuse a patent application may infringe a party's right to be heard and thus may lead to a substantial procedural violation (see Reasons, point 5).

T 1386/18

Transitional provisions - applicability of Article 13(1) RPBA 2020 to cases where the summons to oral proceedings were notified before the entry into force of the RPBA 2020 (see point 1 of the Reasons)

T 1185/17

See Reasons 3.3; auxiliary requests 7 to 10 not admitted into the proceedings due to a new lack of convergence caused by the filing of auxiliary requests 1 and 2, the latter not being taken into account under Article 13(2) RPBA 2020.

T 996/18

Für Ansprüche, die der Patentinhaber durch die Aufnahme von Merkmalen aus der Beschreibung geändert hat, die jedoch im Einspruchsverfahren nicht überprüft wurden, ist im Beschwerdeverfahren von Amts wegen zu prüfen, ob sie im Einklang mit Artikel 123 (2) EPÜ stehen (Artikel 114 (1) EPÜ, Regel 100 (1) EPÜ).

T 884/18

Reasons 3, application of Art 13(2) RPBA 2020

T 852/18

Reasons 8.6, 8.7

T 488/18

Eine Rückzahlungsmöglichkeit der Beschwerdegebühr gemäß Regel 103 (4) c) EPÜ kann es auch dann geben, wenn ein Antrag auf mündliche Verhandlung nicht vom Beschwerdeführer zurückgenommen wurde, sondern von einem anderen Verfahrensbeteiligten, der keine Beschwerde eingelegt hat (siehe Nrn. 8.3 - 8.9 der Entscheidungsgründe).

T 2117/17

a) Besonders strenge Bedingungen sind an ein verspätetes Vorbringen einer offenkundigen Vorbenutzung geknüpft, insbesondere dann, wenn die Vorbenutzung durch die Verfahrensbeteiligten selbst erfolgt sein soll. Gerade in einem solchen Fall wäre von der Einsprechenden zu erwarten gewesen, Informationen über die eigenen Produkte schon vor der Einspruchsabteilung vorzubringen, um eine Zurückverweisung zu vermeiden (Punkt 4.2.8).

b) Obwohl zwar die Verfahrensschritte als solche in einem Vorrichtungsanspruch nicht unmittelbar Teil des Schutzumfangs sind, versteht die Fachperson aber, dass die Vorrichtung dazu eingerichtet sein muss, die Verfahrensschritte auszuführen (Punkt 5.2.3).

T 1790/17

The purpose of the oral proceedings for the appellant is to better explain his case and for the Board to understand and clarify points which, perhaps, up to that point were not sufficiently clear. This is particularly relevant in ex parte cases where besides the applicant/appellant no other party is involved. If amendments resulting from such discussions were not possible, oral proceedings would be pointless. The new [substantially amended] auxiliary request was filed as a direct reaction following the exchange of arguments in the oral proceedings and addressing the objections and concerns the Board had. Furthermore, this request overcame the grounds on which the appealed decision was based. The Board considers the filing of such a request is justified by exceptional circumstances and therefore admits it into the proceedings. (See point 7 of the reasons)

T 1707/17

Article 13(2) RPBA 2020 requires the party not only to explain why the case involves exceptional circumstances, but also to explain why its amendment, in terms of both content and timing, represents a justified response to these circumstances. In particular, where a party seeks to amend its case at a very late stage in the proceedings, the cogent reasons referred to in Article 13(2) RPBA 2020 should include reasons why it was not possible to file such an amendment earlier (Reasons, point 2.4).

T 1569/17

Zur Frage, ob das Streichen von Produktansprüchen keine Änderung des Beschwerdevorbringens im Sinne von Artikel 13(2) VOBK 2020 darstellt (siehe Punkt 4.3 der Entscheidungsgründe).

T 1525/17

Nichtzulassung und Nichtberücksichtigung verspätet vorgebrachter Tatsachen und Beweismittel sind Synonyme. Es ist daher in sich widersprüchlich, verspätet eingereichte Dokumente einerseits bei einer eingehenden Prüfung der Patentierbarkeitsvoraussetzungen zugrunde zu legen, damit also in der Sache zu berücksichtigen, und andererseits zu erklären, diese würden nicht in das Verfahren zugelassen (Gründe, Punkt 4).

T 954/17

At the third level of the convergent approach applicable in appeal proceedings in accordance with the revised version of the Rules of Procedure of the Boards of Appeal (RPBA 2020), the boards of appeal are free to use or not use the criteria set out in Article 13(1) RPBA 2020 when deciding, in the exercise of their discretion in accordance with Article 13(2) RPBA 2020, whether to admit an amendment made at this stage of the proceedings. This also holds true when Article 13 RPBA 2007, rather than Article 13(2) RPBA 2020, is to be applied. (See points 3.7 to 3.11 of the Reasons)

T 615/17

La question de l'admissibilité ne doit pas dépendre d'un changement de mandataire qui relève du seul choix interne, voir stratégique du requérant (voir raisons, 4.1.6).

T 584/17

In der dritten Stufe des nach der revidierten Fassung der Verfahrensordnung der Beschwerdekammern (VOBK 2020) im Beschwerdeverfahren anzuwendenden Konvergenzansatzes steht es der Kammer frei, die in Artikel 13 (1) VOBK 2020 angegebenen Kriterien heranzuziehen, wenn sie in Anwendung des Artikels 13 (2) VOBK 2020 und in Ausübung ihres Ermessens darüber entscheidet, ob eine in diesem Verfahrensstadium vorgenommene Änderung zugelassen wird. Dies gilt auch, wenn Artikel 13 (2) VOBK 2020 nicht anwendbar ist und stattdessen weiterhin Artikel 13 VOBK 2007 anzuwenden ist. (Siehe Punkte 1.2.7 bis 1.2.11 der Entscheidungsgründe)

T 517/17

As to the interpretation of Rule 103(4)(c) EPC, see point 6 of the Reasons.

T 184/17

Reasons 4

T 101/17

Reasons 4 and 5

T 84/17

If the arguments in the appealed decision show that for the discretionary decision taken in the first instance some criteria weighed so heavily that other criteria cannot outweigh them, it is not always necessary that all criteria that could theoretically influence a discretionary decision concerning the admittance of a late filed request are discussed in the appealed decision (point 2.2.3) If the need to file amended requests does not arise owing to the submission of additional documents that are merely confirming the arguments on file but had existed before, the filing of such additional documents cannot always justify the filing of new (belated) requests (point 2.3).

T 74/17

siehe Gründe 3

T 2072/16

See point 4.1.7 of the Reasons.

T 2734/16

1. Eine neue Angriffslinie auf die erfinderische Tätigkeit, die als Reaktion und unter Verwendung der von der Patentinhaberin mit der Einspruchserwiderung eingereichten Dokumente verfolgt wird, ist nicht per se als verspätet anzusehen. Sie kann aus Gründen der Waffengleichheit in das Einspruchsverfahren zugelassen werden, auch wenn die Dokumente im Ergebnis nicht relevanter als andere Dokumente sind (Siehe Punkt 1.4.1). 2. Das späte Einreichen von zufällig bekannt gewordenen Entgegenhaltungen ist nicht schon allein deswegen zulässig, weil sie in der japanischen Sprache verfasst sind und deren Auffindbarkeit deswegen unter Umständen erschwert gewesen sein mag. Dies gilt umso mehr, wenn dem Einreichenden die Bedeutung japanischer Unternehmen auf dem fraglichen technischen Gebiet bekannt war und deshalb Veranlassung zu rechtzeitigen umfassenden Recherchen bestand (Siehe Punkt 1.4.2).

T 2696/16

Dient eine Übersetzung lediglich der Annehmlichkeit einer Partei, ist dies kein ausreichender Grund für das Stellen der Übersetzung durch das EPA (siehe Entscheidungsgründe 1.1). Da keine Gründe für die verspätete Einreichung der prima facie hochrelevanten Dokumente genannt wurden (und auch nicht erkennbar sind), kam die Kammer folglich zu dem Schluss, in Ausübung ihres Ermessens gemäß Artikel 12 (4) VOBK 2007 die Dokumente E12 bis E16 trotz ihrer hohen Relevanz nicht in das Verfahren zuzulassen, denn andernfalls könnte ein Einsprechender eine (hoch)relevante Entgegenhaltung immer ohne Weiteres erst mit der Beschwerdebegründung einreichen und darauf vertrauen, dass diese Entgegenhaltung im Beschwerdeverfahren wegen ihrer Relevanz zugelassen wird (siehe Entscheidungsgründe 1.2).

T 2486/16

1. In applying Article 13(2) RPBA 2020 the Board may also rely on the criteria set out in Article 13(1) RPBA 2020 ... . The criteria of Article 13(1) RPBA 2020 may therefore supplement, but do not supplant, the separate requirements of Article 13(2) RPBA 2020 (Reasons, point 6.4.1).

2. When filing requests within the period mentioned in Article 13(2) RPBA 2020, the party, in providing its "cogent reasons", should not only identify the circumstances invoked and explain why they are to be regarded as "exceptional", it should also explain why these circumstances had the direct result of preventing the party from filing its requests at an earlier stage. (Reasons, point 6.5.6). 3. The mere fact that, in a communication under Article 15(1) RPBA 2020, the Board departs in some respects from the reasoning of the Examining Division on inventive step (while reaching the same conclusion) does not constitute "exceptional circumstances" within the meaning of Article 13(2) RPBA 2020, nor does it open the door to the filing of new requests as a response (Reasons, point 6.6.3).

T 2475/16

Reasons 3

T 2337/16

Zur Frage der Bindungswirkung einer vorangegangenen Beschwerdekammer-Entscheidung ("Selbstbindung"): siehe Punkt 5 der Entscheidungsgründe.

T 2044/16

Einer Rückzahlung nach Regel 103(4)(c) EPÜ steht nicht entgegen, dass die Kammer bereits zu einem früheren Zeitpunkt einen ausführlicheren Vorbereitungsbescheid gemäß Artikel 15(1) VOBK 2020 erlassen hatte. Die Frist nach Regel 103(4)(c) EPÜ wird durch jede weitere vorbereitende Mitteilung der Kammer erneut ausgelöst, auch wenn diese im wesentlichen organisatorischen Inhalt hat und erst einen Monat vor der mündlichen Verhandlung ergeht. Die zum Rückzahlungstatbestand der Regel 103(2)(b) EPÜ (nun Regel 103(3)(b) EPÜ) in T 265/14 diskutierten Erwägungen sind auch auf die vorliegende Fallkonstellation übertragbar. Entscheidend ist der mit der Regelung beabsichtigte Arbeitszeitgewinn, der durch die auf die Mitteilung erklärte Antragsrücknahme und die dadurch ermöglichte effiziente Verfahrensbeendigung im schriftlichen Verfahren erreicht wird. (siehe Gründe, Ziffern 5 bis 5.6)

T 1756/16

Neuer Einwand nach Zustellung der Ladung zur mündlichen Verhandlung. Entscheidungsgründe,Punkte 3.5-3.10, insbesondere Punkt 3.9.

T 1661/16

see Reasons 1.4.1 to 1.4.5

T 1604/16

The boards have competence to review appealed decisions in full, including points of law and fact. This applies also to findings of fact of the department of first instance which are based, at least in part, on the evaluation of witness evidence obtained in the course of hearing a witness (reasons, point 3.1 and sub-points).

T 1531/16

Vorliegen besonderer Gründe im Sinne von Artikel 11, Satz 1 VOBK 2020 (siehe Punkt 4 der Entscheidungsgründe)

T 1480/16

Die Streichung der Verfahrensansprüche in Hilfsantrag 5 gegenüber dem mit der Beschwerdeerwiderung eingereichten Hilfsantrag 3 wird nicht als Änderung des Beschwerdevorbringens gesehen, da sich dadurch keine geänderte Sachlage ergibt (siehe Punkte 2.3 der Gründe).

T 1187/16

Falls sämtliche in einer Mitteilung der Kammer behandelten Einwände bereits Gegenstand des bisherigen Verfahrens waren, kann diese Mitteilung das Vorliegen außergewöhnlicher Umstände im Sinne von Art. 13 (2) VOBK 2020 nicht begründen (Punkt 3. der Entscheidungsgründe).

T 950/16

see reasons 3.2

T 862/16

As to raising a new objection by a Board of Appeal ex officio under Article 114(1) EPC, see points 2.8 and 8 of the Reasons.

T 822/16

Reformatio in peius: siehe Punkt 2 der Entscheidungsgründe

T 752/16

Eine Änderung der vorläufigen Meinung der Kammer zu einem bestimmten Einspruchsgrund stellt keinen "außergewöhnlichen Umstand" im Sinne von Artikel 13(2) VOBK 2020 dar (siehe Punkt 3 der Entscheidungsgründe).

T 688/16

siehe Gründe 1,2

T 656/16

Gründe 6.3

T 634/16

Art. 13(1) RPCR 2020 vis-à-vis Art. 13 RPCR 2007; motifs 7-14

T 487/16

See Reasons 3.1; document admitted by the opposition division upon which the decision was based - not to be excluded from appeal proceedings.

T 32/16

Art. 13(1) RPBA 2020 and Art. 13 RPBA 2007 both apply (Points 1.1 to 1.1.3 of the Reasons); Art. 11 RPBA 2020 - adaptation of the description is not 'further prosecution' (see Point 5 of the Reasons)

T 2227/15

Transitional provisions - applicability of Article 13(1) RPBA 2020 to cases where the summons to oral proceedings were notified before the entry into force of the RPBA 2020 (see point 1 of the Reasons) Form of decision - abridged form in respect of one or more issues (see point 2 of the Reasons)

T 2214/15

If amendments intended to overcome objections of lack of support and lack of clarity raised in the summons give rise to further objections concerning clarity or added subject-matter, pointing out these further objections does not represent exceptional circumstances within the meaning of Article 13(2) RPBA 2020, but rather an ordinary development of the discussion which does not go beyond the framework of the initial objection. See reasons 5.3 and 5.4.

T 1875/15

A board has in principle no discretion for not admitting late-filed arguments (T 1914/12 followed). However, if a late-filed objection includes new allegations of fact, the board has under Article 114(2) EPC the discretion not to admit it into the proceedings (reasons 2.1 to 2.5, 9.3 to 9.4).

T 1610/15

Nach dem Wortlaut von Regel 103 (4) c) EPÜ ist es nicht Voraussetzung, dass alle vorliegenden Anträge auf mündliche Verhandlung innerhalb eines Monats ab Zustellung einer von der Beschwerdekammer zur Vorbereitung der mündlichen Verhandlung erlassenen Mitteilung zurückgenommen werden. Es reicht vielmehr aus, dass ein Antrag auf mündliche Verhandlung fristgerecht zurückgenommen wird, damit die erste Voraussetzung für eine anteilige Rückzahlung der Beschwerdegebühr gemäß Regel 103 (4) c) EPÜ erfüllt ist (vgl. Entscheidungsgründe 7.2).

T 1437/15

Gründe 3.2

T 1370/15

Not only in ex parte-, but also in inter partes appeal proceedings, a board is allowed to introduce new ex officio common general knowledge without evidence of such knowledge which prejudices maintenance of the patent, to the extent that the board is knowledgeable in the respective technical field from the experience of its members working on cases in this field. (See Reasons, point 5.3)

T 989/15

At the third level of the convergent approach applicable in appeal proceedings in accordance with the revised version of the Rules of Procedure of the Boards of Appeal (RPBA 2020), the boards of appeal are free to use or not use the criteria set out in Article 13(1) RPBA 2020 when deciding, in the exercise of their discretion in accordance with Article 13(2) RPBA 2020, whether to admit an amendment made at this stage of the proceedings. This also holds true when Article 13 RPBA 2007, rather than Article 13(2) RPBA 2020, is to be applied. (See section 16 of the Reasons)

T 62/15

Evidence filed with the statement of grounds of appeal - prima facie relevance and interests of the public in valid patents not taken into account when deciding on admittance (point 1 of the reasons)

T 52/15

Filing of a series of main requests resulting in each new main request being considered as replacing the previously filed main request. Procedural steps preventing the department of first instance from deciding on relevant issues. (See points 1.1-2.11 of the reasoning)

T 1695/14

 - Die Rücknahme eines Antrags kann ausdrücklich oder konkludent erfolgen. Eine konkludente Antragsrücknahme liegt vor, wenn sich aus den Umständen zweifelsfrei ergibt, dass bestimmte Anträge nicht weiterverfolgt werden sollen. - Werden Anträge, die im Beschwerdeverfahren zunächst gestellt und nachfolgend ausdrücklich oder konkludent zurückgenommen worden waren, später erneut eingereicht (wieder aufgegriffen), richtet sich ihre Zulassung nach den verfahrensrechtlichen Normen der VOBK, die für die Zulassung eines gänzlich neuen Antrags maßgeblich sind.

T 1551/14

Legitime Reaktionen auf die Änderung der Verfahrenslage (hier: Einreichung einer eidesstattlichen Erklärung nach Einreichung eines neuen Hilfsantrags) sind grundsätzlich zuzulassen. Der Einwand, dass sie zum bisherigen Vortrag im Widerspruch stehen, kann eine Nichtzulassung in der Regel nicht rechtfertigen (siehe Punkt 3.2 der Gründe). Zurückverweisung mit der Auflage, die Zeugeneinvernahme fortzusetzen, ggf. unter Eid vor einem nationalen Gericht (siehe Punkte 8.5 und 9 der Gründe).

T 683/14

The examining division's error was of a substantive nature. The procedural consequences thereof were caused exclusively by the implementation of the erroneous substantive position.

T 603/14

See point 7. of the reasons

T 97/14

See point 3.

T 16/14

Siehe Punkte 2. und 3.

R 6/19

The basis for a board's (and opposition division's) discretion to admit or not claim requests is Article 123(1)EPC, (see Reasons points 5 to 10).

J 14/19

1.) Der Nachweis des Vorliegens der Voraussetzungen für die Aussetzung des Verfahrens nach Regel 14 (1) EPÜ muss während eines anhängigen Erteilungsverfahrens und somit vor Bekanntmachung des Hinweises auf die Erteilung im Europäischen Patentblatt erfolgen. Beweismittel, die erst nach diesem Zeitpunkt eingereicht werden, dürfen vom Europäischen Patentamt hierfür nicht berücksichtigt werden (Nr. 4.3 der Gründe).

2.) Die Frage zu welchem Zeitpunkt ein nationales Verfahren im Sinne der Regel 14 (1) EPÜ i.V.m. Artikel 61 (1) EPÜ als eingeleitet gilt, ist nach dem Verfahrensrecht jenes Staates zu beurteilen, dessen Gerichte zum Treffen einer Entscheidung im Sinne des Artikels 61 (1) EPÜ angerufen wurden (Nr. 6.1 und 6.2 der Gründe).

3.) Bei der Anwendung fremden Rechtes muss das Europäische Patentamt dieses, soweit möglich, im Gesamtzusammenhang der fremden Rechtsordnung anwenden. Dabei ist das Europäische Patentamt als von staatlichen Behörden und Gerichten unabhängige internationale Organisation nicht an die Rechtsprechung nationaler Gerichte zur Auslegung der anzuwendenden fremden Rechtsnorm gebunden. Sofern dem Europäischen Patentamt bekannt, sollte insbesondere höchstgerichtliche nationale Rechtsprechung bei der Entscheidungsfindung jedoch berücksichtigt und gewürdigt werden(Nr. 6.5 der Gründe).

4.) Fragen des Rechtsmissbrauchs stellen sich auch in den Verfahren vor dem Europäischen Patentamt (siehe etwa Artikel 16 (1) e) VOBK 2020). Zur Vermeidung von Wertungswidersprüchen sind derartige Fragen vom Europäischen Patentamt auch im Rahmen des Aussetzungsverfahrens autonom, also unabhängig von nationalen Rechtsordnungen zu beurteilen (Nr. 6.22 der Gründe).

5.) Die zweckwidrige Inanspruchnahme eines Rechtes kann unter Umständen Rechtsmissbrauch begründen. Dies ist etwa dann der Fall, wenn die Rechtsausübung überwiegend in Schädigungsabsicht erfolgt und andere, legitime Zwecke in den Hintergrund treten. Rechtsmissbrauch muss zweifelsfrei vorliegen und erfordert eine sorgfältige Prüfung und Abwägung der Einzelumstände. Die Beweislast trifft denjenigen, der sich auf Rechtsmissbrauch beruft (Nr. 13.1 der Gründe).

J 12/18

Under Article 76(2) EPC only those Contracting States that had been designated in the earlier application at time of filing the divisional can be designated in the divisional. A designated state forfeited in the parent application at time of filing the divisional cannot be revived in the divisional one.

G 2/19

1. Ein Dritter im Sinne von Artikel 115 EPÜ, der gegen die Entscheidung über die Erteilung eines europäischen Patents Beschwerde eingelegt hat, hat keinen Anspruch darauf, dass vor einer Beschwerdekammer des Europäischen Patentamtes mündlich über sein Begehren verhandelt wird, zur Beseitigung vermeintlich undeutlicher Patentansprüche (Artikel 84 EPÜ) des europäischen Patents den erneuten Eintritt in das Prüfungsverfahren anzuordnen. Eine solchermaßen eingelegte Beschwerde entfaltet keine aufschiebende Wirkung. 2. Mündliche Verhandlungen der Beschwerdekammern an deren Standort in Haar verstoßen nicht gegen die Artikel 113 (1) und 116 (1) EPÜ.

G 1/18

1. Le recours est réputé non formé dans les cas suivants : a) lorsque l'acte de recours est déposé dans le délai de deux mois tel que prévu à l'article 108, première phrase CBE ET que la taxe de recours a été acquittée après l'expiration dudit délai de deux mois ; b) lorsque l'acte de recours est déposé après le délai de deux mois tel que prévu à l'article 108, première phrase CBE ET que la taxe de recours a été acquittée après l'expiration dudit délai de deux mois ; c) lorsque la taxe de recours a été acquittée dans le délai de deux mois tel que prévu à l'article 108, première phrase CBE pour le dépôt de l'acte de recours ET que l'acte de recours a été déposé après l'expiration dudit délai de deux mois. 2. Pour les réponses 1a) à 1c), le remboursement de la taxe de recours est ordonné d'office. 3. Lorsque la taxe de recours a été acquittée dans ou après le délai de deux mois tel que prévu à l'article 108, première phrase CBE pour le dépôt de l'acte de recours ET que l'acte de recours n'a pas été déposé, la taxe de recours est remboursée.

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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