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Guidelines for Examination

 
 

14. Refusal

If, despite the applicant's submissions, i.e. amendments or counter-arguments, objections persist after the applicant's reply to the first communication under Art. 94(3) in examination, then even at this stage a refusal can be issued (subject to oral proceedings being held, if these are requested). In the event that refusal is contemplated at this or any later stage of examination proceedings, the examiner should bring the application before the other members of the Examining Division, which may then decide to refuse the application. In any event, at some stage, the primary examiner will consult the other members of the Examining Division with a view to establishing whether the application should be refused or a patent should be granted. If the Division intends to refuse the application, a written reasoned decision is necessary and this will normally be prepared by the primary examiner (see E‑IX, 4 and 5). In preparing the decision, the examiner must take care to abide by the general principles set out in Art. 113(1), i.e. the decision must be based on grounds or evidence on which the applicant has had the opportunity to comment (see E‑IX, 1.1 and 1.2).

In addition, the applicant's attention must be directed to the provisions for appeal laid down in Art. 106 to 108. If oral proceedings take place (see E‑II), the decision may be given orally but must subsequently be notified in writing, the time limit for appeal then running from the date of such notification.

If the applicant appeals against the decision and the Examining Division considers, in the light of the applicant's statement, that the appeal is admissible and well-founded, it should rectify its decision accordingly within three months after receipt of the statement of grounds. Otherwise, the appeal will be considered by a Board of Appeal. If a decision to refuse a patent is reversed on appeal, the application may be referred back to the Examining Division for further examination. In such a case, the further examination will normally be entrusted to the examiner who performed the original examination. The Examining Division is bound by the ratio decidendi of the Board of Appeal, insofar as the facts are the same.