1. Forms of notification
T 1529/20 × View decision
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.
1.1. Notification by postal services
In R. 126 EPC, and also in R. 125(2) EPC and R. 133(1) EPC, references to "post" have been replaced by "postal services" and "postal service providers" in 2015. This gives the Office the freedom to choose any postal service provider it regards as suited to serving notification.
In view of the low return rate of advices of delivery and the notable administrative burden associated with their processing, R. 126(1) EPC was amended by Administrative Council decision CA/D 2/19 (OJ 2019, A31) to remove the requirement to notify by registered mail with advice of delivery. Decisions incurring a period for appeal or a petition for review, summons and any notice or other communication triggering a time limit must instead be notified by registered letter, if not notified electronically. Amended R. 126(1) EPC came into force on 1 November 2019.
In T 1693/13, the EPO had notified the contested decision using courier service UPS before R. 126 EPC as amended had entered into force. The board held that the appellant had been entitled in the circumstances to assume that the UPS courier service was treated as "post" within the meaning of R. 126 EPC as then still in force and that it made no difference to how the appeal period was determined under that provision whether a decision had been sent by post or by UPS. In contrast, in G 1/14 (OJ 2016, A95) the Enlarged Board took the view that old R. 126(1) EPC related solely to notification by post using a "registered letter with advice of delivery" and not to any other kind (by UPS in the case in hand). See also chapter V.B.2.3.3.
In J 9/96 the Legal Board of Appeal held that notification of a communication posted as an ordinary letter in accordance with R. 78(2) EPC 1973 (no longer applicable since 1.1.1999) was deemed to have been made when despatch had taken place. However, if the communication did not reach the addressee and was not returned to the EPO, the legal fiction of deemed notification could not be applied, unless the EPO could establish that it had duly despatched the communication (see also J 27/97 and J 32/97). On the question of apportioning the burden of proof and spheres of risk in connection with notification irregularities, see in this chapter III.S.4.
In T 1596/14 the board noted in obiter dictum that there was no evidence or indication that the alleged unequal treatment of the parties induced by different dates of notification of the same decision had been detrimental to any party's interests. There did not appear to be any consequences for the admissibility of the appeals or for the due course of the ensuing appeal proceedings. The board noted that there was no specific sanction or remedy foreseen in the EPC for this situation and it seemed to the board that it was difficult to assume that appellant I's suggestion to re-send the decision with a new common notification date would be a remedy, since the parties in the case in hand were already aware of each other's arguments.
- T 1529/20