4.4.1 Principles

New Art. 13(1) RPBA 2020 implements the second level of the convergent approach applicable in appeal proceedings. It defines the conditions under which a party may amend its appeal case after the initial stage of the proceedings. The party must provide reasons as to why the amendment is submitted at this stage of the appeal proceedings (underlined e.g. in T 136/16). The admittance of the amendment is subject to the board's discretion (see CA/3/19, section VI, explanatory remarks on Art. 13(1) RPBA 2020, supplementary publication 2, OJ 2020). As confirmed by the board in T 1217/17 and T 2101/16, the list of criteria for applying that discretion given in Art. 13(1) RPBA 2020 is non-exhaustive. Moreover, Art. 13(1), second sentence, RPBA 2020 stipulates the application mutatis mutandis of Art. 12(4) to (6) RPBA 2020, which includes the criteria in Art. 12(4), fifth sentence, RPBA 2020 (inter alia, complexity of the amendment, see e.g. T 32/16, T 310/18).

The boards have repeatedly highlighted that the criteria set out in Art. 13(1) RPBA 2020 reflect established case law developed through the stringent application of the requirements of Art. 13(1) RPBA 2007 (see e.g. T 634/16, T 32/16, T 1480/16, T 1597/16, T 658/17; for details see chapter V.A.4.5.2b) "No contradiction between Article 13(1) RPBA 2020 and Article 13 RPBA 2007 or the EPC").

As mentioned in chapter V.A.4.1.2 "Primary object of appeal proceedings and the 'convergence approach' to amendments to party's case" above, the requirements of the second level of the convergent approach (Art. 13(1) RPBA 2020) also play a role at the third level. As envisaged in the explanatory remarks on Art. 13(2) RPBA 2020 and confirmed by case law, the boards may in the exercise of their discretion under Art. 13(2) RPBA 2020 also rely on criteria applicable at the second level of the convergent approach. It is noted that decisions applying the criteria of Art. 13(1) RPBA 2020 are therefore presented not only in this chapter but also in chapters V.A.4.5.9, V.A.4.5.10 and V.A.4.5.11 below.

Decisions referring to transitional cases, i.e. cases which concern the last stage of the appeal proceedings, but in which Art. 13(2) RPBA 2020 does not apply yet and instead Art. 13 RPBA 2007 and Art. 13(1) RPBA 2020 apply simultaneously (Art. 25(1) and (3) RPBA 2020, see also chapter V.A.4.5.2 "Transitional provisions"), are presented in this chapter together with the other decisions applying Art. 13(1) RPBA 2020.