A. Appeal procedure

Catchword:

Different interpretation of Article 109(1) EPC from that provided for in the Guidelines for Examination in the EPO - application of Article 20(2) RPBA 2020 (see point 2.4.3 of the Reasons).

Catchword:

1. From the company name of an appellant alone it can generally not be derived that the appellant does not meet the conditions of Rule 6(4,5) EPC in conjunction with European Commission Recommendation 2003/361/EC of 6 May 2003 for payment of the reduced appeal fee. This applies even where a company name is well-known. 2. Where it is not clear from the file at the end of the appeal period whether or not an appellant at the point in time of payment of the reduced fee meets the conditions of Rule 6(4,5) EPC, no clear intention to pay the regular appeal fee can be detected that under the principles of T 152/82 would entitle the EPO to ex officio debit the amount of the regular fee. 3. An appellant who gives a debit order for payment of the reduced appeal fee even though it clearly does not meet the conditions of Rule 6(4,5) EPC commits an obvious mistake in the meaning of J 8/80 and G 1/12. Such an appellant is imputed to have had the clear intention to pay the regular fee, reason why no evidence to prove this intention is required. 4. The exhaustive criteria to assess Rule 139 EPC are "principles" (a) to (c) of G 1/12, i.e. essentially those of J 8/80, points 4 and 6: (a) The correction must introduce what was originally intended. (b) Where the original intention is not immediately apparent, the requester bears the burden of proof, which must be a heavy one. The same applies, pursuant to J 8/80, point 6, where the making of the mistake is not self-evident. (c) The error to be remedied may be an incorrect statement or an omission. complemented by criterion (d) balancing of the public interest in legal certainty with the interest of the party requesting correction, with the factors (i.e. sub-criteria of this criterion) relevant to the specific case.

Catchword: 

1. If the deletion of dependent claims after notification of a summons to oral proceedings enhances procedural economy by clearly overcoming existing objections without giving rise to any new issues this might constitute cogent reasons justifying exceptional circumstances in the sense of Article 13(2) RPBA 2020. 

2. For a first medical use of a substance or composition according to Article 54(4) EPC to be sufficiently disclosed it is not required to show the suitability for each and every disease, but it usually suffices to show that at least one medical use is credibly achieved.

Catchword:

Berichtigung der Erklärung betreffend die Methode für die Entrichtung der Beschwerdegebühr im Formblatt 1038 - Ermittelung der ursprünglichen Absicht bei der Auswahl der Zahlungsmethode, siehe Entscheidungsgründe 6.4

Catchword:

Prima facie allowability under Article 123(2) EPC of a late filed amended claim request may be a valid criterion to be used by the opposition division when deciding on the admittance of this claim request. However, using this criterion, to object for the first time at oral proceedings to a feature of the late-filed claim request that was already present in higher ranking claim requests and had never been objected to before, not even when deciding on the allowability or admittance of those higher-ranking claim requests, goes against the principles of fairness and good faith (see point 2.6.11 of the reasons).

Catchword:

1. A request for reimbursement of the appeal fee under Rule 103(1)(a) EPC can no longer be filed after the department of first instance has granted interlocutory revision (Reasons 2). 

2. If the department of first instance grants interlocutory revision only to refine the written reasons which already complied with Rule 111(2) EPC, this may constitute a substantial procedural violation (Reasons 1).

Catchword:

Artikel 12(4) VOBK 2020 enthält keine Einschränkung dahin, dass sich jede Partei in der Beschwerde nur auf diejenigen Gegenstände des Vorverfahrens beziehen dürfte, die sie selbst dort "in zulässiger Weise vorgebracht" hat. Daher erscheint es legitim, sich auch auf Angriffslinien zu beziehen, die von anderen Beteiligten ins Einspruchsverfahren eingeführt worden waren. Geschieht dies, liegt insoweit daher keine zulassungsbedürftige Änderung des Vorbringens vor (siehe Punkt 4.4).

Catchword:

The principles expressed in Article 12(6) RPBA 2020 for the admittance of non-maintained or non-admitted requests may be considered in the exercise of discretion to admit amendments based on such requests under Article 12(4) RPBA 2020.

Orientierungssatz:

Zur Notwendigkeit einer rechtzeitigen Replik:

1. Unter der seit 1. Januar 2020 geltenden Verfahrensordnung der Beschwerdekammern (VOBK 2020) obliegt es den Parteien, ihren Vortrag so rechtzeitig im Verfahren zu bringen, dass die Beschwerdekammer ihn bereits bei Abfassung des Ladungsbescheids berücksichtigen kann.

2. Soweit die Beschwerdeführerin einen Teil ihres Vortrags nicht, wie es Artikel 12 Abs. 3 VOBK 2020 eigentlich fordert, bereits in der Beschwerdebegründung unterbreiten kann, weil es sich um die Antwort auf Angriffe bzw. Hilfsanträge handelt,die nicht bereits Gegenstand der angegriffenen Entscheidung waren, sondern von der Beschwerdegegnerin in der Beschwerdeerwiderung unterbreitet wurden, stellt eine Replik hierauf für die Beschwerdeführerin das geeignete Mittel der Wahl dar, um ihre Antwort rechtzeitig vorzubringen. Gerade aus diesem Grund sieht Artikel 15 (1) VOBK 2020 vor, dass die Kammer sich bemüht, nicht früher als zwei Monate nach Erhalt der Beschwerdeerwiderung (gemäß Artikel 12 (1) c) VOBK 2020) die Ladung zu versenden.

3. Das Argument, es sei nicht zumutbar, Kaskaden von Argumentationslinien im Hinblick auf jede denkbare Einschätzung der Kammer vortragen zu müssen, greift nicht. Im zweiseitigen Beschwerdeverfahren trifft die Parteien die Pflicht zur sorgfältigen und beförderlichen Verfahrensführung, aus Gründen der Fairness gegenüber der anderen Partei, aber auch um das Verfahren innerhalb einer angemessenen Verfahrensdauer zum Abschluss zu bringen. Artikel 13 (2) VOBK 2020 sanktioniert diese Pflicht zur Verfahrensförderung.

4. Das Argument der Beschwerdeführerin, es sei der Kammer und auch der Patentinhaberin zumutbar, sich in der mündlichen Verhandlung mit der Diskussion eines einfachen neuen Sachverhaltes zu beschäftigen, lässt den Einfluss auf den weiteren Verfahrensverlauf außer Acht. Die erstmalige Diskussion einer Argumentationslinie in der mündlichen Verhandlung mag zu einer Situation führen, in der die andere Partei ihre Verteidigungslinie erstmalig in der mündlichen Verhandlung überdenken und ggf. anpassen muss, was zu einer deutlichen Verzögerung des Verfahrens führen und eine sachgerechte ntscheidung in der mündlichen Verhandlung erschweren oder unmöglich machen kann.

Catchword: 

Since the initial main request, filed for the first time with the statement of grounds of appeal, would not have been admitted under Article 12(4) RPBA 2007, the objections raised by the board in the communication annexed to the summons to oral proceedings against this initial main request are of a hypothetical nature and do not establish exceptional circumstances referred to in Article 13(2) RPBA 2020 which could justify amending the applicant's appeal case.

Catchword:

Änderung eines Anspruchssatzes durch Streichung von Ansprüchen. Zur Frage seiner Zulassung unter Artikel 13 (2) RPBA 2020 siehe Entscheidungsgründe Nr. 3.4.1 bis 3.4.14            

Catchword:

Ein nach der Ladung zur mündlichen Verhandlung eingereichter neuer Hilfsantrag, der nur noch einen bereits im von der Einspruchsabteilung aufrechterhaltenen Hauptantrag enthaltenen unabhängigen Verfahrensanspruch enthält, während alle anderen vorrangigen (Produkt-)Ansprüche gestrichen wurden, kann dann nicht als grundsätzlich unberücksichtigt bleibende Änderung des Beschwerdevorbringens im Sinne des Artikels 13(2) VOBK 2020 angesehen werden, wenn das bisherige Vorbringen der Beteiligten bereits eine hinreichende Grundlage zur Entscheidung über den neuen Hilfsantrag bietet (abweichend von T 2091/18, vgl. Punkt 5 der Gründe).

Catchword:

I. A debit order has to be interpreted on its substance, according to the (objectively) clear intention of the appellant expressed therein to pay a fee in the applicable amount.

II. Under the Arrangements for deposit accounts valid as from 1 December 2017 (ADA 2017), a debit order having the clear purpose of paying a particular fee (here: the appeal fee) authorises the EPO to debit that fee in the applicable amount.

Catchword:

1. The Guidelines, Part E, Chapter XI, set out the procedure whereby the reasons of a responsible superior's decision rejecting a challenge to the impartiality of a division can be appealed. This procedure does not make the responsible superior's decision formally appealable (Reasons 2.3 and 2.4).

2. The unexplained omission of the reasons of the responsible superior's decision from the final decision of the division justifies the suspicion of partiality and constitutes a substantial procedural violation (Reasons 2.9 and 2.15).

3. The principle of the prohibition of "reformatio in peius" is not applicable where a case is to be remitted to a division in a new composition because of a suspicion of partiality (Reasons 5.5 and 5.6).

Catchword:

Modification des moyens selon l'article 13(2) RPCR ; recevabilité de requêtes dans lesquelles certaines revendications indépendantes sont supprimées ; échelonnement des requêtes subsidiaires déposées tout au long de la procédure de recours qui donne lieu à une approche "par tâtonnements" ou une tactique par élimination (tactique du "salami") (voir points 2 et 3 des motifs).

Catchword:

"Exceptional circumstances" in Rule 13(2) RPBA interpreted as those that compromise neither the procedural rights of the other party, nor procedural economy.

Catchword:

Eligibility requirements for paying a reduced appeal fee by an appellant - opponent in case of opposition filed as a straw man (Reasons 1 to 9.2).

Catchword:

Amendment of a set of claims by deletion of claims. Admittance of said amended set of claims pursuant to Article 13(2) RPBA 2020: see points 3.1 to 3.16 of the Reasons for the Decision.

Catchword: 

Whether the documents which are taken as starting points for newly raised inventive step objections were previously used for objections regarding a lack of novelty has no bearing for determining whether these inventive step objections constitute an amendment to the opponent's appeal case under Article 13(2) RPBA 2020 (Reasons 4.7).

Catchword:

That a "new" objection was raised by a board in appeal proceedings cannot per se amount to "exceptional circumstances" within the meaning of Article 13(2) RPBA 2020 (see point 4.3 of the Reasons).

Catchword:

1. An opposition division's rejection of a request for extension of the time limit indicated in its communication under Rule 79(1) EPC does not terminate the opposition proceedings. Therefore, a patent proprietor is in a position to respond to the notice of opposition beyond the expired time limit or, at least, request the rejection of the opposition as well as oral proceedings. The patent proprietor must anticipate that an opposition division may issue its decision after expiration of the time limit (see Reasons 4.5, 4.6 and 4.9).

2. There is no legal basis for a duty on the part of the opposition division to notify the patent proprietor in advance of its intention to reach a decision, even if that decision concerns the revocation of the patent (see Reasons 4.8, 4.10 and 4.11).

3. If a patent proprietor chooses not to file any submissions during the opposition proceedings but to present them only with its statement of grounds of appeal, this amounts to bringing an entirely fresh case in appeal proceedings. This is at odds with the primary object of the appeal proceedings to review the decision under appeal in a judicial manner. Consequently, a board has the discretion under Article 12(4) RPBA 2007 not to admit the patent proprietor's defence submissions into the appeal proceedings. This does, however, not necessarily lead to revocation of the patent. The decision under appeal is still to be reviewed by the board, which might overturn the impugned decision, for example if it is not convinced by the reasons given by the opposition division or in the event of a substantial procedural violation (see Reasons 5.5 and 5.6).

Catchword: 

In order to substantiate an objection in the appeal proceedings which the Opposition Division did not consider convincing, it is necessary to provide specific reasons why the finding and the reasoning in the decision under appeal is supposedly incorrect with regard to this objection (Reasons 2.2.2-2.2.11). As a rule, in appeal proceedings general references to submissions made in the proceedings before the departments of first instance are not taken into account due to a lack of substantiation. Attaching the notice of opposition to the statement of grounds of appeal is to be considered equivalent to such a general reference to previous submissions (Reasons 2.2.13-2.2.14). An objection is to be considered to have been validly submitted only at the time on which sufficient substantiation is provided (Reasons 2.2.17).

Catchword:

Special reasons present in the sense of Article 11 (1) RPBA 2020 (see point 6 of the reasons for the decision).

Catchword:

If a request for oral proceedings is withdrawn after a date for oral proceedings has been set but before the notification of a communication issued in preparation for the oral proceedings, the withdrawal occurs "within one month of notification" for the purpose of Rule 103(4)(c) EPC.

Catchword:

Notification of the statement of grounds of appeal is not a Rule 100(2) EPC communication (Reasons 1.4) 
Article 13(2) RPBA – “in principle” (Reasons 2.1)

Catchword:

siehe Punkt 5.1.

Catchword:

While objections raised by the Board for the first time in a communication under Article 15(1) RPBA 2020 may be considered to give rise to exceptional circumstances within the meaning of Article 13(2) RPBA 2020, and may possibly justify the filing of amendments which specifically respond to the new objections, this does not open the door to additional amendments which are unrelated to the new objections, and for which no exceptional circumstances exist (Reasons, point 3.10).

 Catchword: Entscheidungsgründe 4

Catchword:

1.) Im Beschwerdeverfahren bestehen Beschränkungen neuen Vorbringens sowohl durch die Rechtsprechung der Großen Beschwerdekammer in G 10/91, G 1/95 und G 7/95 zur Berücksichtigung neuer Einspruchsgründe, als auch durch die den Kammern in Artikel 114 (2) EPÜ und der Verfahrensordnung der Beschwerdekammern eingeräumte Möglichkeit, verspätetes Vorbringen nicht zuzulassen. Diese Beschränkungen bestehen unabhängig voneinander und wirken kumulativ (Nr. 4.5 der Gründe). 

2.) Vorbringen, das nicht auf die in der Beschwerdebegründung oder Erwiderung enthaltenen Anträge, Tatsachen, Einwände, Argumente und Beweismittel gerichtet ist, bewirkt eine Änderung des Beschwerdevorbringens im Sinne des Artikel 13 (2) VOBK (J 14/19, Nr. 1.4 der Gründe). In diesem Zusammenhang stellt sowohl eine neue Kombination von Tatsachenelementen (z.B. die Wahl einer anderen Entgegenhaltung oder einer anderen Textstelle einer Entgegenhaltung als Ausgangspunkt für einen Einwand erfinderischer Tätigkeit) als auch eine neue Kombination von Tatsachen- und Rechtselementen (z.B. die Bezugnahme auf ein Dokument oder eine Textstelle in einem anderen rechtlichen Zusammenhang) eine Änderung des Beschwerdevorbringens dar. Ein in der mündlichen Verhandlung vor der Beschwerdekammer erstmals vorgetragener Einwand mangelnder erfinderischer Tätigkeit ausgehend von einer Entgegenhaltung, die zuvor lediglich Gegenstand eines Neuheitseinwandes war, stellt somit regelmäßig eine Änderung des Beschwerdevorbringens gemäß Artikel 13 (2) VOBK 2020 dar. (Nr. 4.9 der Gründe).

Catchword:

The requirement under Article 12(2) RPBA 2007 to present a complete case does not imply that an appellant/opponent, impugning a decision to maintain a patent in granted or amended form, has to raise objections against all dependent claims (point 4.2 of the reasons).

Catchword:

A request in which some claims have been deleted compared to the requests that were filed previously with the grounds of appeal or the reply is, according to the systematic context of Article 12(3) RPBA 2020 and Article 13 RPBA 2020, a new request and thus usually amounts to an "amendment to the party's appeal case".

Catchword:

The respondent's requests regarding the ground for opposition under Article 100 c) EPC confront the Board with the issue of admittance of a new ground for opposition which was raised during the oral proceedings before the opposition division but had deliberately not been decided upon by the opposition division. In the absence of a positive decision on admittance by the opposition division, the Board considers that the ground for opposition under Article 100 c) EPC should be treated as a fresh ground at the appeal stage and its admittance should be governed by the principles set forth in G 10/91, which require the proprietor's consent for its introduction in the appeal proceedings. In view of the appellant's refusal thereto, the ground for opposition under Article 100 c) is not to be introduced in the appeal proceedings.

Catchword:

As to the divergence in the jurisprudence of the Boards of Appeal concerning the notion of an "amendment" within the meaning of Article 12(4) RPBA 2020, see point 2.4 of the Reasons.

Catchword:

Le fait que la chambre ait retenu un argument nouveau (absence d'effet technique clairement identifiable) dans la chaîne argumentaire conduisant au constat provisoire d'absence d'activité inventive ne saurait être ignoré. Il justifie que les requêtes qui visent et se limitent à remédier à cette objection soient admises.

Catchword:

Weder Artikel 13(2) VOBK 2020 noch die erläuternden Bemerkungen dazu in CA/3/19 enthalten eine Erklärung, wie allgemein zu bestimmen ist, ob die Umstände "außergewöhnlich" sind. Die Erläuterungen der VOBK 2020 nennen als Beispiel für solche "außergewöhnlichen" Umstände allerdings den Fall, dass die Kammer einen Einwand erstmals in einer Mitteilung erhoben hat. In diesem Fall rechtfertige die veränderte Grundlage des Beschwerdeverfahrens ein verändertes Vorbringen. Die Frage, ob umgekehrt durch geändertes Vorbringen auch die Grundlage des Beschwerdeverfahrens verändert wird, stellt somit ein mögliches Kriterium dar, das für die Beurteilung der Außergewöhnlichkeit der Umstände heranzuziehen ist (Punkt 6.3 der Entscheidungsgründe).

Catchword: 

If the opponent is the sole appellant against an interlocutory decision maintaining a patent in amended form, an objection related to the inadmissibility of the opposition is subject to the principle of the prohibition of reformatio in peius. In such a procedural situation, the Board is prohibited from ordering the maintenance of the patent as granted due to the inadmissibility of the opposition (Reasons 3.19).

Catchword: 

The yardstick for determining whether the position of an appellant is, because of its own appeal, worsened in a way which is incompatible with the principle of the prohibition of reformatio in peius is the order of the decision under appeal, in particular the order's legal effect on the appellant.  If an opposition is considered inadmissible in the appeal proceedings, an appellant whose opposition was rejected in the decision under appeal as unallowable would not be in a worse position than if it had not appealed, as in both cases the patent would be maintained as granted. The legal reasons leading to this result, including whether the opposition is rejected as inadmissible or unallowable, do not fall within the scope of the principle of the prohibition of reformatio in peius (Reasons 3.5).

Catchword: 

If there is an amendment to the patent in the appeal proceedings which has never been examined before, the Enlarged Board's obiter dictum in G 10/91, Reasons 19, is fully respected when only the prima facie relevance of an objection under Article 123(2) EPC is considered in the context of assessing whether there are exceptional circumstances under Article 13(2) RPBA 2020 (Reasons 2.3.1-2.3.14).

Catchword: 

Admittance of objections raised in appeal, said objections having been raised before the opposition division against a different claim request (point 4.3 of the Reasons

Catchword:

A request not to admit a certain document, this request having been filed for the first time during oral proceedings before the board, may constitute an amendment of the appeal case the admittance of which is governed by Article 13(2) RPBA 2020 (point 3 of the reasons).

Catchword:
The Boards of Appeal may review discretionary decisions. There are, however, limits on the extent of review that reflect the discretion accorded to the deciding body. In the present case, the Opposition Division decided to consider document D8 and the review of this decision is a primary object of the appeal proceedings (Article 12(2) RPBA 2020) - see Reasons 1 - 9.