4.2.1 Witness testimony and written statements
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The board in T 2565/11 overturned the evaluation of evidence made by the department of first instance because the opposition division erred as regards the underlying facts and failed to give an evaluation that was free of contradictions. The board gave its own evaluation of the evidence regarding the relevant facts. The board also noted that further explanations given by a witness, in order to close a potential gap in the documentary evidence on file, could not be considered per se as new facts. Otherwise, hearing a witness would be meaningless, and evidence provided on the basis of documents would be given a higher evidentiary value than a witness testimony, for which no basis could be found in the EPC. T 2565/11 is cited in T 2398/12 in the context of an object submitted as evidence in support of an allegation of public prior use which had gone missing during the appeal but had already been examined by the opposition division.
The board in T 1476/14 held there was no ground in the case in hand to overturn the opposition division's assessment of the testimony of two witnesses. The credibility of witnesses cannot be impugned because of differences in testimonies relating not to the essentials but to less important aspects of prior use.
In T 1798/14 the opposition division had considered the witness reliable and his answers detailed, credible and consistent overall. The respondent (patent proprietor) had not voiced any concerns either; it had merely disputed that the machine witnesses may have seen comprised all the features of the claim. The board saw no reason to depart from this assessment and to doubt the accuracy of the witness's statements. In T 544/14 the question of evaluating the evidence was again discussed in detail by the board (re-hearing the witness necessary but eventually not decisive – alleged public prior use not novelty-destroying).
According to the board in T 621/14 appeal proceedings were not intended as a second opportunity to have evidence heard unless sufficiently substantiated grounds for appeal gave some reason for it. The mere desire for evidence to be evaluated differently did not result in a re-opening before the board of the procedure for taking evidence. The board saw no reason to deviate from the prior art identified by the opposition division through the hearing of witnesses.
In T 804/92 (OJ 1994, 862) the opposition division had, in a communication to the parties, suggested in detail the content of a statement under oath. Such a practice was firmly rejected by the board because it involved the risk of leading witnesses and could seriously undermine the probative value of such statements. This applied to departments at any instance in proceedings before the EPO.
- T 1418/17
1. Hinsichtlich der von der Einspruchsabteilung vorgenommenen Feststellung der relevanten Fakten ist zu berücksichtigen, dass vor dem Europäischen Patentamt anerkanntermaßen der Grundsatz der freien Beweiswürdigung gilt, was auch Auswirkungen auf die Überprüfung im Beschwerdeverfahren haben muss.
2. Soweit kein Rechtsanwendungsfehler vorliegt (etwa ein falscher Beweismaßstab angewandt wurde), sollte eine Beschwerdekammer daher die Beweiswürdigung eines erstinstanzlichen Spruchkörpers nur aufheben und durch ihre eigene ersetzen, wenn diese erkennbar (i) wesentliche Gesichtspunkte nicht berücksichtigt hat, oder (ii) sachfremde Erwägungen mit einbezogen hat oder (iii) einen Verstoß gegen die Denkgesetze, etwa logische Fehler und Widersprüche in der Begründung, erkennen lässt.
- 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).
- Case law 2020
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In T 1418/17, the opposition division had considered the prior use resulting from the exhibition and demonstration of the "UWS 500" machine and cited as prior art (Art. 54(2) EPC) to be sufficiently proven, but had not considered the sale of this machine to various customers to be of a public nature. The board established that all the relevant arguments by the parties regarding both prior uses (sale/exhibition) had already been put forward and taken into account in the proceedings at first instance. With regard to the relevant facts established by the opposition division, the board observed that it was generally accepted that the principle of free evaluation of evidence applied before the EPO (G 3/97, OJ 1999, 245; G 1/12, OJ 2014, A114), which also had to have an impact on the review during the appeal proceedings (T 1107/12, T 621/14). Provided that there had not been an error in the application of the law (e.g. an incorrect standard of proof had been applied), a board of appeal should therefore only overrule the evaluation of evidence made by a department of first instance and replace it with its own if that department's evaluation of the evidence clearly had one of the following shortcomings: (i) essential points had not been considered (T 1553/07), (ii) irrelevant matters had been taken into consideration (T 2565/11) or (iii) the laws of thought had been violated, for instance in the form of errors in logic and inconsistencies in the reasoning (T 2565/11). None of these was apparent in this case. The board instead considered the opposition division's decision to be free of any errors of law or logic with regard to the issue of the public nature of the alleged prior uses, and therefore its evaluation of evidence was not open to objection. It thus agreed with the opposition division's findings and reasoning in the decision under appeal as to whether public prior uses had resulted from the sales of the "UWS 500" machine to various customers and from its exhibition and demonstration at trade fairs prior to the priority date of the contested patent, and deemed it expedient to put the reasons for its decision in abridged form in respect of these issues (public prior uses) pursuant to Art. 15(8) RPBA 2020. Unlike the opposition division, however, the board was of the opinion that the subject-matter of claim 9 of the main request had been anticipated by the cited public prior use in the form of the "UWS 500" machine's exhibition and demonstration at trade fairs. The main request was therefore not allowable. T 1418/17 has to date been cited by two decisions. Decision T 1057/15 referred to the principles laid down in the second catchword of T 1418/17 and endorsed the opposition division's evaluation of the evidence and facts in the case in hand. And T 1604/16, even more recent, did not follow T 1418/17 and considered that the boards have competence to review appealed decisions in full, including points of law and fact (see below). In T 1604/16, the invention related to a foldable ramp for loading a wheelchair into a vehicle. The opposition division concluded that there had been a prior use of the invention and, more specifically, that on the day the (former) opponent delivered to Ms M a car with a ramp as depicted in the photographs in E1/1, which took place as indicated in invoice E1, a ramp of this type was made available to the public. E1 showed that a car with a taxi ramp was sold and delivered to Ms M by the (former) opponent before the priority date. The photographs in E1/1 showing Ms M's car were taken by the (former) opponent after the filing date and after the car had had an accident and been repaired. A crucial point was therefore whether the ramp in the photographs was the same as the one delivered to Ms M when she bought the car. Ms M was also heard as a witness. The opposition division had based its assessment on E1, E1/1 and the witness's testimony. The evidence adduced before the board thus included documents E1, E1/1 and the minutes of the hearing of the witness at first instance. Since the board did not itself hear the witness and only had the minutes as evidence, the question arose whether there were restrictions on its competence to review and set aside the opposition division's finding of fact. There were no issues in terms of the witness's credibility (see in general T 474/04), and the questions and answers reflected in the minutes did not leave any gaps or raise any questions which the board needed the witness to clarify. In the board's view, the principle of the free evaluation of evidence has no direct bearing on the extent of the boards' competence to review decisions in general, and particularly findings of fact made by a department of first instance. If the criteria set out in T 1418/17 were applied so broadly, this would amount to a considerable restriction of a board's competence. The board referred to the explanatory remarks to Art. 12(2) RPBA 2020 that the boards have competence to review appealed decisions in full, including points of law and fact. The board was well aware that there is case law on a restriction of the boards' competence when reviewing discretionary decisions. However, it did not consider the evaluation of evidence to be a discretionary decision. The board did not see any reason why it should limit its review of the opposition division's findings of fact in the context of the public prior use by applying the criteria set out in decision T 1418/17. In the case in hand, the evidence lay entirely within the sphere of the (former) opponent, who sold the car, carried out the repairs and took the photographs produced as E1/1. Concerning the photographs in particular, the board noted that the insurance company of the other car involved in the accident would have needed some photographs of Ms M's car at least just after the accident and that there were no such photographs on file. In view of this and several remaining doubts which arose from the content of the minutes, the board held that the evidence produced was insufficient and hence that the opposition division had erred in concluding that the ramp shown in E1/1 formed part of the prior art. See also chapter V.A.1.1. "Primary object of the appeal proceedings – Article 12(2) RPBA 2020".