B. Right to be heard
Overview
2.The right to be heard under Article 113(1) EPC
3.Text submitted or agreed by applicant (patent proprietor) – Article 113(2) EPC
- T 423/22
Catchword:
Hearing a witness in first instance proceedings by videoconference allowed sufficient interaction between the deciding body, the parties and the witness. Albeit a part of the witness' body language was not visible to the participants, this did not amount to an infringement of the parties' right to be heard since the judgement on the witness' credibility was mainly based on the conclusiveness of his/her testimony and the absence of contradictions within the witness' own testimony, between the testimonies of several witnesses and/or contradictions between the witness' testimony and information derivable from supporting documents (reasons, point 2).
- T 17/22
Catchword: see point 1.2.2 of the reasons.
- T 2024/21
Catchword:
Examining division's continual refusal to appoint oral proceedings rendered the appellant's request for oral proceedings futile. Withdrawal of the request for oral proceedings under these circumstances does not absolve the examining division from its duty to hold oral proceedings (Reasons 1.5).
- T 1558/21
Catchword:
1. Entspricht der Antrag, der der Entscheidung der Einspruchsabteilung zugrunde liegt, zum Zeitpunkt der Entscheidung nicht dem Willen einer Partei, so ist diese Partei beschwert und ihre Beschwerde gegen die Entscheidung zulässig (Punkt 1.1 der Entscheidungsgründe). 2. Die Kammer sieht es als erwiesen an, dass die Entscheidung der Einspruchsabteilung nicht auf der beabsichtigten Fassung des Hilfsantrags beruht, die in der mündlichen Verhandlung erörtert wurde. Im vorliegenden Fall hat die Einspruchsabteilung entweder über den falschen Antrag entschieden, der nicht dem Tenor der Entscheidung entspricht, oder aber über einen Antrag, zu dem die Parteien nicht gehört wurden. Beides stellt einen schwerwiegenden Verfahrensmangel dar, und daher ist die Entscheidung aufzuheben (Punkte 3.4 - 3.6 der Entscheidungsgründe). 3. Ein Fehler in einem während der mündlichen Verhandlung eingereichten Anspruchssatz, der Teil einer in der mündlichen Verhandlung verkündeten Entscheidung geworden ist, ist weder einer späteren Korrektur über Regel 140 EPÜ zugänglich, noch über Regel 139 EPÜ, sofern es ihm an der Offensichtlichkeit mangelt (Punkte 5.1 - 5.5 der Entscheidungsgründe).
- T 737/20
Catchword: Right to be heard: see points 16 and 17 of the Reasons.
- T 689/20
Catchword: Reasons 3
- T 1564/18
Catchword:
Since neither the annex to the summons nor any of the previous communications of the examining division contained the essential legal and factual reasons leading to the finding in the appealed decision that claim 1 of the main request lacked novelty over the prior-art device considered for the first time in the novelty assessment of the refusal, and since no reason was given why the amendments made in advance of the oral proceedings held in absentia justified the change to this new closest prior art, the decision was issued in violation of the right to be heard even though the prior-art device on which the refusal was based was disclosed in the same document as a closest prior art considered previously in the examination procedure.- R 12/22
Abstract
Der Antrag auf Überprüfung in R 12/22 wurde darauf gestützt, dass die angefochtene Entscheidung in mehrfacher Hinsicht mit einem schwerwiegenden Verfahrensmangel behaftet sei, und – ebenfalls in mehrfacher Hinsicht – ein schwerwiegender Verstoß gegen Art. 113 EPÜ vorliege.
Die Große Beschwerdekammer (GBK) erörterte zunächst, dass ein Verstoß gegen die Begründungspflicht nach R. 102 g) EPÜ nicht von Art. 112a (2) d) EPÜ erfasst sei. Sie verwies auf die in R 10/18 und R 10/20 dargelegten Grundsätze zum Umfang der Begründungspflicht. Die von der Antragstellerin zitierte Aussage aus der Kommentarliteratur, das Korrelat zum Äußerungsrecht nach Art. 113 (1) EPÜ bilde die Pflicht, die Entscheidungen zu begründen, müsse im Einklang mit diesen Grundsätzen stehen. Eine Behandlung des Geäußerten in den Entscheidungsgründen sei nur unter den in R 10/18 und R 10/20 dargelegten Voraussetzungen vom Recht auf rechtliches Gehör gefordert. Hingegen beinhalte das Recht auf rechtliches Gehör neben dem Äußerungsrecht das Recht auf Berücksichtigung des Geäußerten. Wenn ein Schlagwort zur Charakterisierung dieser Beziehung als nützlich empfunden werden sollte, dann würde sich der Kammer zufolge der Begriff "Korrelat" hier eignen.
Zu den geltend gemachten Verfahrensmängeln gemäß Art. 112a (2) d) EPÜ, stellte die GBK fest, dass die Antragstellerin sich weder auf das Übergehen eines Antrags auf mündliche Verhandlung (R. 104 a) EPÜ) noch eines sonstigen relevanten Antrags im Verfahren (R. 104 b) EPÜ) berufen hatte, weshalb der Überprüfungsantrag diesbezüglich für unbegründet befunden wurde.
Zu den geltend gemachten Verfahrensmängeln gemäß Art. 112a (2) c) EPÜ, befand die GBK unter anderem Folgendes:
G 1/21 habe klargestellt, dass die Durchführung einer mündlichen Verhandlung in Form einer Videokonferenz grundsätzlich keinen Verstoß gegen das Recht auf rechtliches Gehör bedeute. Die Auffassung der Antragstellerin, eine nur theoretische Möglichkeit verschlechterter Kommunikation und Austauschmöglichkeit stelle bereits einen Verstoß gegen Art. 113 (1) EPÜ dar, stehe in diametralem Gegensatz zu G 1/21. In Bezug auf Art. 15a VOBK betonte die GBK, dass eine unzutreffende Ermessensausübung zugunsten der Durchführung einer mündlichen Verhandlung als Videokonferenz mangels Einfluss auf das Recht auf rechtliches Gehör keinen Verstoß gegen dieses Recht begründen könne, wenn ein konkreter praktischer Mangel weder behauptet noch ersichtlich sei.
In Bezug auf die beanstandete Zulassung des Vortrags einer Begleitperson stellte die GBK klar, dass es auf einen abstrakten Verstoß gegen die in G 4/95 aufgestellten Zulassungsvoraussetzungen bei der Prüfung eines Verstoßes gegen das Recht auf rechtliches Gehör nicht ankommen könne. Denn letzteres Recht beziehe sich auf die Möglichkeit, auf den Inhalt konkreter Äußerungen angemessen reagieren zu können, nicht auf das Recht, diesen Inhalt durch eine zum umfassenden Vortrag berechtigte und von einem zugelassenen Vertreter hierbei beaufsichtigte Begleitperson präsentiert zu bekommen.
In Bezug auf den geltend gemachten Verstoß gegen Art. 113 EPÜ infolge der kurzfristigen Umbesetzung der zuständigen Beschwerdekammer stellte die GBK unter anderem fest, dass aus dem Recht auf rechtliches Gehör kein Recht eines Beteiligten auf einen Nachweis folge, dass ein Kammermitglied ausreichend vorbereitet ist, weder im Falle einer kurzfristigen Einwechslung noch generell. Denn die Ausübung eines solchen Rechts würde gegen die Unabhängigkeit des betroffenen Beschwerdekammermitglieds verstoßen.
Zu dem geltend gemachten Verstoß gegen Art. 113 EPÜ infolge einer "fehlerhaften und widersprüchlichen Beurteilung" des streitpatentgemäßen Gegenstands, stellte die GBK klar, dass dies nur dann beanstandet werden könnte, wenn die Widersprüche gleichbedeutend damit wären, dass die Kammer das Vorbingen in den Entscheidungsgründen nicht behandelt hätte und dieses objektiv betrachtet entscheidend für den Ausgang des Falles gewesen wäre. Dass die widersprüchliche Begründung gleichbedeutend mit einer Nicht-Begründung ist, müsse sich aufdrängen.
Der Antrag auf Überprüfung wurde folglich als offensichtlich unbegründet verworfen.
- T 1529/20
Abstract
In T 1529/20 the appellant (proprietor) submitted that they had never received the decision of the opposition division revoking their patent and that they had only become aware of it and, more generally, of the opposition proceedings, through an email from a formalities officer of the EPO.
The board explained that with the abolition of advices of delivery for notification of decisions by registered letter (see OJ 2019, A31), it was the practice of the EPO at the time to enclose an acknowledgement of receipt (Form 2936) with notifications by registered letter of decisions incurring a period for appeal and summonses. Addressees were requested to date and sign the form and return it immediately, as evidence of receipt (see OJ 2019, A57).
The board established that the present file did not contain a confirmation of receipt of the decision of the opposition division from the appellant. Since the EPO could not prove whether the registered letter had reached the appellant, as required by the provisions of R. 126(2) EPC in force at the relevant time, it had to be accepted that the legal fiction of deemed notification did not apply and the appellant became aware of the appealed decision for the first time with the email from the formalities officer. This date was therefore the date of notification of the decision. Thus, the appeal was timely filed.
With regard to the right to be heard, the board held that, as argued by the appellant, the missing opportunity to present their arguments during the opposition proceedings amounted to a substantial procedural violation (Art. 113(1) EPC).
The board observed that, even in view of the notice of the EPO concerning implementation of amended R. 126(1) EPC (OJ 2019, A57) – which did not require to enclose an acknowledgement of receipt (Form 2936) with the communication of the notice of opposition – the requirements of Art. 113 EPC had to be complied with. Before a negative decision revoking a patent was issued, it had to be established that the patent proprietor had been duly informed about the initiation of opposition proceedings. The board explained that the notice of the EPO merely determined the format of notifications. However, the provisions of R. 126(2) EPC remained unaffected. R. 126(2) EPC defined a rebuttable fiction of notification, which, in case of dispute, had to be verified. The burden of proof lied with the EPO.
The board agreed with the appellant that a party submitting that something had not happened, i.e. that a communication had not been received, was in difficulties in trying to prove a negative (negativa non sunt probanda, see also T 2037/18, R 15/11, R 4/17). The filing of cogent evidence showing that a letter was not received was hardly ever possible (see also J 9/05). Therefore, the respondent's arguments that the appellant allegedly had the duty to register mail incoming at their premises but failed to provide an excerpt of such register was not pertinent, since there was no trace in the file that the EPO discharged its burden of proving delivery. Under such circumstances, the appellant did not have to bear the risks normally falling in their sphere of responsibility (T 1535/10), so that they have to be given the benefit of the doubt (J 9/05).
According to the board, in the present case legal certainty and the protection of the right to be heard would have required that the opposition division had established, by any available means, the fact and date of delivery of the communication of the notice of opposition.
The patent proprietor could decide not to react to the notice of opposition. Nevertheless, the communication under R. 79(1) EPC was not a mere formality. Rather, it had the function of allowing the patent proprietor to both contribute to the opposition division's appreciation of the facts and to defend their interests. Since the initial act of (non-)notification of the notice of opposition was flawed, the entire opposition proceedings including the decision of the opposition division was flawed.
Thus, the board set aside the appealed decision and remitted the case to the opposition division for further prosecution. The appeal fee was reimbursed.
- J 11/20
Abstract
In J 11/20 the applicant appealed a decision of the Receiving Section refusing their application for the reason that the amended drawings filed by the applicant to remedy formal deficiencies in the application documents were not in agreement with the application documents as originally filed and, despite the invitation by the Receiving Section dated 14 March 2019, the applicant had not corrected this deficiency in due time.
In the statement of grounds of appeal, the appellant submitted that the Receiving Section's communication dated 14 March 2019 had appeared not to have been received by them. They also objected that the EPO had committed a substantial procedural violation by providing information on a procedural non-compliance leading to a severe loss of rights to an assistant by means of an informal telephone call, rather than to the duly appointed representative with an official communication. Informing, in an informal manner, the assistant instead of the duly appointed professional representative, prevented the latter from the possibility to correctly react. The appellant furthermore indicated that these arguments had already been brought to the attention of the Receiving Section with the letter dated 24 October 2019, in reply to the communication under Art. 113(1) EPC. However, they had remained disregarded and the Receiving Section had issued the appealed decision.
In the context of the reimbursement of the appeal fee under R. 103(1)(a) EPC, the Legal Board saw at least a substantial procedural violation in the fact that the Receiving Section had disregarded the objection of lack of receipt of the communication dated 14 March 2019, and had given no consideration to the request for re-establishment of rights. The lack of receipt of this communication had been disputed by the appellant – in addition to the statement of grounds of appeal – before the appealed decision was issued, both in the request for re-establishment of rights and in reply to the communication under Art. 113(1) EPC.
The Legal Board remarked that in the Receiving Section's communication under Art. 113(1) EPC, by reference to the telephone conversation with the assistant of the appellant's representative, the assumption that the communication dated 14 March 2019 had actually been received by the professional representative was taken as a fact. However, there was no trace in the file that the respective telephone note had also been formally notified to the professional representative, giving him the chance to take position on this fact before it being taken into account in the communication under Art. 113(1) EPC.
The Legal Board held that, by simply disregarding the appellant's submissions, the Receiving Section had violated the right to be heard under Art. 113(1) EPC. It is a well-established principle that this right requires not only that an opportunity to present comments is given, but also that these comments are actually taken into due consideration in the decision. The Legal Board concluded that this violation was of a substantial nature since it had affected the reasons on which the appealed decision had been taken, namely the assumption that the communication dated 14 March 2019 had been received by the appellant and thus the deficiencies under R. 58 EPC had not been corrected in due time. The appellant had been given no other choice than filing the appeal. In view of these circumstances, the Legal Board considered that reimbursement of the appeal fee was equitable.
- 2023 compilation “Abstracts of decisions”
- Annual report: case law 2022
- Summaries of decisions in the language of the proceedings