Pages 28-58

III. RULES OF PROCEDURE OF THE BOARDS OF APPEAL

The following texts entered into force at the same time as the revised EPC.

III.1
Decision of the Administrative Council of 7 December 2006 approving amendments to the Rules of Procedure of the Enlarged Board of Appeal of the European Patent Office1

THE ADMINISTRATIVE COUNCIL OF THE EUROPEAN PATENT ORGANISATION,

Having regard to the European Patent Convention, and in particular Article 23,

paragraph 4, thereof,

Having regard to the amendments to the Rules of Procedure of the Enlarged Board of Appeal, adopted on 6 November 2006 under Rule 11, paragraph 2, of the Implementing Regulations to the European Patent Convention,

HAS DECIDED AS FOLLOWS:

The amendments to the Rules of Procedure of the Enlarged Board of Appeal, as shown in the Annex to this decision, are hereby approved.

Done at Munich, 7 December 2006

For the Administrative Council

The Chairman

Roland GROSSENBACHER

ANNEX
DECISION

Amendments to the Rules of Procedure of the Enlarged Board of Appeal, OJ EPO 1983, 3 as amended in OJ EPO 1989, 362, OJ EPO 1994, 443 and OJ EPO 2003, 58

In accordance with Rule 11 of the Implementing Regulations to the Convention on the Grant of European Patents, the Enlarged Board of Appeal amends its Rules of Procedure. These amended Rules of Procedure read as follows:

Article 1

Field of application

These Rules of Procedure shall apply in proceedings before the Enlarged Board of Appeal under Article 112 EPC and Article 112a EPC.

Article 2

Business distribution and composition

(1) Before the beginning of each working year the members of the Enlarged Board of Appeal appointed under Article 11, paragraph 3, EPC shall draw up a business distribution scheme. This scheme shall designate the regular members and their alternates in proceedings under Article 112 EPC concerning points of law referred during the year, and the regular members and, as the case may be, their alternates in proceedings under Article 112a EPC concerning petitions filed during the year. The scheme may be amended during the working year.

(2) The Chairman of the Enlarged Board of Appeal shall determine the composition of the Board for each particular case in accordance with the business distribution scheme.

(3) For the examination of a petition under Article 112a EPC conducted in the composition under Rule 109, paragraph 2(b), EPC, two legally qualified members shall supplement the composition specified in Rule 109, paragraph 2(a), EPC.

(4) In proceedings before the Enlarged Board of Appeal under Article 112, paragraph 1(a), EPC at least four of the members shall not have taken part in the proceedings before the Board of Appeal referring the point of law.

(5) Article 24 EPC shall apply to proceedings under Article 112a EPC. The Chairman, appointed under Article 11, paragraph 3, EPC, of the Board against whose decision the petition for review has been filed may not take part in the review proceedings.

(6) The parties shall be informed of the Board's composition as soon as it has been determined or changed.

Article 3

Replacement of members

(1) Members shall be replaced by alternates if they are prevented from participating, particularly as a result of sickness, excessive workload, and commitments which cannot be avoided.

(2) Any member who wishes to be replaced by an alternate shall inform the Chairman of the Board of his unavailability without delay.

(3) The Chairman of the Enlarged Board of Appeal may, in accordance with the business distribution scheme, designate another regular legally qualified member of the Board to act as Chairman in his stead.

Article 4

Exclusion and objection

(1) If the Board has knowledge of a possible reason for exclusion or objection which does not originate from a member himself or from any party to the proceedings, then the procedure of Article 24, paragraph 4, EPC shall be applied.

(2) The member concerned shall be invited to present his comments as to whether there is a reason for exclusion.

(3) Before a decision is taken on the exclusion of the member, there shall be no further proceedings in the case.

Article 5

Rapporteurs

(1) The Chairman of the Board shall for each case designate a member of the Board, or himself, as rapporteur. The Chairman may appoint an additional rapporteur. The rapporteur of the Board as composed under Rule 109, paragraph 2(a), EPC shall generally go on to be the rapporteur for proceedings conducted in the composition under Rule 109, paragraph 2(b), EPC.

(2) If an additional rapporteur is appointed, the steps referred to in paragraphs 3 to 5 shall be taken by the rapporteur and additional rapporteur jointly unless the Chairman directs otherwise.

(3) The rapporteur shall carry out a preliminary study of the case and may prepare communications to the eligible parties subject to the direction of the Chairman of the Board. Communications shall be signed by the rapporteur on behalf of the Board.

(4) The rapporteur shall make the preparations for meetings of the Board and for oral proceedings.

(5) The rapporteur shall draft decisions or opinions.

(6) If a rapporteur or additional rapporteur considers that his knowledge of the language of the proceedings is insufficient for drafting communications or decisions or opinions, he may draft these in one of the other official languages. His drafts shall be translated by the European Patent Office into the language of the proceedings and the translations shall be checked by the rapporteur or by another member of the Board.

Article 6

Registry

(1) A Registry shall be established for the Enlarged Board of Appeal. The Senior Registrar of the Boards of Appeal or the registrars assigned to him for this purpose shall be responsible for the discharge of its functions.

(2) The members of the Enlarged Board of Appeal appointed under Article 11, paragraph 3, EPC may entrust to the Registry tasks which involve no technical or legal difficulties, in particular in relation to arranging for inspection of files, issuing summonses to oral proceedings and notifications and granting requests for further processing of applications.

(3) Minutes of oral proceedings and of the taking of evidence shall be drawn up by the Senior Registrar, a registrar assigned to him for this purpose or such other employee of the Office as the Chairman may designate.

Article 7

Change in the composition of the Board

(1) If the composition of the Board is changed after oral proceedings, the parties eligible to take part in the proceedings shall be informed that, at the request of any party, fresh oral proceedings shall be held before the Board in its new composition. Fresh oral proceedings shall also be held if so requested by the new member and if the other members of the Board have given their agreement.

(2) Paragraph 1 shall not apply to a change in composition under Article 2, paragraph 3. In this event, a request for oral proceedings shall continue to apply even where oral proceedings have already taken place.

(3) Each new member shall be bound to the same extent as the other members by an interim decision which has already been taken.

(4) If, when the Board has already reached a final decision, a member is unable to act, he shall not be replaced by an alternate. If the Chairman is unable to act, the legally qualified member of the Board having the longest service on the Board or, in the case where members have the same length of service, the eldest member shall sign the decision on behalf of the Chairman.

Article 8

Consolidation of proceedings

If two or more points of law with the same or similar subject-matter have been submitted, or two or more petitions to review the same appeal decision, the Board may consider them in consolidated proceedings.

Article 9

EPO President's right to comment

In proceedings under Article 112 EPC the Board may, on its own initiative or at the written, reasoned request of the President of the European Patent Office, invite him to comment in writing or orally on questions of general interest which arise in the course of proceedings pending before it. The parties shall be entitled to submit their observations on the President's comments.

Article 10

Statements by third parties

(1) In the course of proceedings under Article 112 EPC, any written statement concerning the points of law raised in such proceedings which is sent to the Board by a third party may be dealt with as the Board thinks fit.

(2) The Board may announce further provisions concerning such statements in the Official Journal of the European Patent Office if it seems appropriate.

Article 11

Special communications to parties in proceedings under Article 112a EPC

Notwithstanding notifications or communications required under other provisions,

(a) the other parties shall be informed of the receipt of a petition for review and shall receive a copy of the petition, reference being made to Rule 109, paragraph 3, EPC;

(b) the parties shall be informed that a clearly inadmissible or unallowable petition for review has been rejected in oral proceedings;

(c) the parties shall be informed that a petition for review has been forwarded to the Board as composed under Rule 109, paragraph 2(b), EPC.

Article 12

New submissions filed after expiry of the time limit in proceedings under Article 112a EPC

(1) Notwithstanding Rule 109, paragraph 3, EPC the Board may consider new submissions made by the petitioner after expiry of the time limit for filing petitions for review, if this is justified for special reasons.

(2) The same shall apply in proceedings conducted in the composition under Rule 109, paragraph 2(b), EPC to new submissions from the other parties filed subsequently to their reply.

Article 13

Non-binding communications from the Board

If the Board deems it expedient to communicate with the eligible parties regarding a possible appreciation of substantive or legal matters, such communication shall be made in such a way as not to imply that the Board is in any way bound by it.

Article 14

Oral proceedings

(1) If oral proceedings are to take place, the Board shall endeavour to ensure that the eligible parties have provided all relevant information and documents before the hearing.

(2) The Board's communication under Article 13 may draw attention to matters which seem to be of special significance, or to the fact that questions appear no longer to be contentious, or may contain other observations that may help concentration on essentials during the oral proceedings.

(3) A change of date for oral proceedings may exceptionally be allowed in the Board's discretion following receipt of a written and reasoned request made as far in advance of the appointed date as possible.

(4) The Board shall not be obliged to delay any step in the proceedings, including its decision, by reason only of the absence at the oral proceedings of any party duly summoned who may then be treated as relying only on its written case.

(5) The Chairman presides over the oral proceedings and ensures their fair, orderly and efficient conduct.

(6) When a case is ready for decision during oral proceedings, the Chairman shall state the final requests of the eligible parties and declare the debate closed. No submissions may be made by the parties after the closure of the debate unless the Board decides to re-open the debate.

(7) The Board shall ensure that each case is ready for decision at the conclusion of the oral proceedings, unless there are special reasons to the contrary. Before the oral proceedings are closed, the Board's decision or opinion may be announced orally by the Chairman.

Article 15

Attendance of interpreters

If required, the Chairman of the Board shall make arrangements for interpreting during oral proceedings, the taking of evidence or the deliberations of the Board.

Article 16

Deliberation and voting

(1) Only members of the Board shall participate in deliberations; the Chairman may, however, authorise other officers to attend. Deliberations shall be secret.

(2) During the deliberations between members of the Board, the opinion of the rapporteur shall be heard first, followed by that of the additional rapporteur if one has been appointed and, if the rapporteur is not the Chairman, the Chairman's last.

(3) If voting is necessary, votes shall be taken in the same sequence; even if the Chairman is the rapporteur, he shall vote last. Abstentions shall not be permitted.

Article 17

Submission of case by the Board as composed under Rule 109, paragraph 2(a), EPC to the Board as composed under Rule 109, paragraph 2(b), EPC

If, in proceedings under Article 112a EPC, the Board as composed under Rule 109, paragraph 2(a), EPC fails after deliberation to reach the unanimous conclusion that the petition for review should be rejected as clearly inadmissible or unallowable, it shall submit the petition without delay and without comment as to its merit to the Board as composed under Rule 109, paragraph 2(b) EPC for decision.

Article 18

Reasons for the decision or opinion

(1) Subject to Rule 109, paragraph 2(a), EPC the decision or opinion of the Board shall be in accordance with the votes of the majority of its members.

(2) In proceedings under Article 112 EPC, the reasons for such decision or opinion may also indicate the opinions held by a minority of the members if a majority of the members of the Board agrees. Neither the names of the members forming any such minority nor the size of such minority may be indicated.

Article 19

Binding nature of the Rules of Procedure

These Rules of Procedure shall be binding upon the Enlarged Board of Appeal, provided that they do not lead to a situation which would be incompatible with the spirit and purpose of the Convention.

Article 20

Entry into force

These Rules of Procedure shall enter into force upon entry into force of the revised text of the European Patent Convention in accordance with Article 8 of the Revision Act.

Done at Munich, 6 November 2006

For the Enlarged Board of Appeal

The Chairman

Peter MESSERLI

III.2
Decision of the Administrative Council of 25 October 2007 approving amendments to the Rules of Procedure of the Boards of Appeal of the European Patent Office2

THE ADMINISTRATIVE COUNCIL OF THE EUROPEAN PATENT ORGANISATION,

Having regard to the European Patent Convention, and in particular Article 23, paragraph 4, thereof,

Having regard to the amendments to the Rules of Procedure of the Boards of Appeal, adopted on 12 September 2007 under Rule 10, paragraph 3, of the Implementing Regulations to the European Patent Convention,

Having regard to the opinion of the Committee on Patent Law,

HAS DECIDED AS FOLLOWS:

The amendments to the Rules of Procedure of the Boards of Appeal, as shown in the Annex to this decision, are hereby approved.

Done at Munich, 25 October 2007

For the Administrative Council

The Chairman

Roland GROSSENBACHER

ANNEX
DECISION

Amendments to the Rules of Procedure of the Boards of Appeal, OJ EPO 1983, 7 as amended in OJ EPO 1989, 361, OJ EPO 2000, 316, OJ EPO 2003, 61, OJ EPO 2003, 89 and OJ EPO 2004, 541

In accordance with Rule 10, paragraph 3, of the Implementing Regulations to the European Patent Convention, the Presidium amends the Rules of Procedure of the Boards of Appeal. These amended Rules of Procedure read as follows:

Article 1

Business distribution and composition

(1) The Presidium referred to in Rule 12, paragraph 4, EPC, shall before the beginning of each working year draw up a business distribution scheme for the distribution among the Boards of Appeal of all appeals that may be filed during the year, designating the members who may serve on each Board and their respective alternates. The scheme may be amended during the working year.

(2) The Chairman of each Board of Appeal shall determine the composition of the Board for each particular case in accordance with the business distribution scheme.

Article 2

Replacement of members

(1) Members shall be replaced by alternates if they are prevented from participating, particularly as a result of sickness, excessive workload, and commitments which cannot be avoided.

(2) Any member requesting to be replaced by an alternate shall inform the Chairman of the Board concerned of his unavailability without delay.

(3) The Chairman of the Board may designate another member of the Board to replace him or her as Chairman in a particular appeal in accordance with the business distribution scheme.

Article 3

Exclusion and objection

(1) If a Board has knowledge of a possible reason for exclusion or objection which does not originate from a member himself or from any party to the proceedings, then the procedure of Article 24, paragraph 4, EPC shall be applied.

(2) The member concerned shall be invited to present his comments as to whether there is a reason for exclusion.

(3) Before a decision is taken on the exclusion of the member, there shall be no further proceedings in the case.

Article 4

Procedural compliance

(1) The Chairman shall for each appeal designate a member of the Board or himself to consider the admissibility of the appeal.

(2) The Chairman or a member designated by him shall ensure that the parties comply with these Rules and with directions of the Board and shall propose action to be taken as appropriate.

Article 5

Rapporteurs

(1) The Chairman of each Board shall for each appeal designate a member of his Board, or himself, as rapporteur. If appropriate in the light of the subject-matter of the case, the Chairman may designate an additional rapporteur.

(2) If an additional rapporteur is appointed, the steps referred to in paragraphs 3 to 5 shall be taken by the rapporteur and additional rapporteur jointly unless the Chairman directs otherwise.

(3) The rapporteur shall carry out a preliminary study of the appeal and may prepare communications to the parties subject to the direction of the Chairman of the Board. Communications shall be signed by the rapporteur on behalf of the Board.

(4) The rapporteur shall make the preparations for meetings of the Board and for oral proceedings.

(5) The rapporteur shall draft decisions.

(6) If a rapporteur or additional rapporteur considers that his knowledge of the language of the proceedings is insufficient for drafting communications or decisions, he may draft these in one of the other official languages. His drafts shall be translated by the European Patent Office into the language of the proceedings and the translations shall be checked by the rapporteur or by another member of the Board concerned.

Article 6

Registries

(1) Registries shall be established for the Boards of Appeal. Registrars shall be responsible for the discharge of the functions of the Registries. One of the Registrars shall be designated Senior Registrar.

(2) The Presidium referred to in Rule 12, paragraph 1, EPC may entrust to the Registrars the execution of functions which involve no technical or legal difficulties, in particular in relation to arranging for inspection of files, issuing summonses to oral proceedings and notifications and granting requests for further processing of applications.

(3) The Registrar shall report to the Chairman of the Board concerned on the admissibility of each newly filed appeal.

(4) Minutes of oral proceedings and of the taking of evidence shall be drawn up by the Registrar or such other employee of the Office as the Chairman may designate.

Article 7

Attendance of interpreters

If required, the Chairman of any Board shall make arrangements for interpretation during oral proceedings, the taking of evidence or the deliberations of his Board.

Article 8

Change in the composition of the Board

(1) If the composition of a Board is changed after oral proceedings, the parties to the proceedings shall be informed that, at the request of any party, fresh oral proceedings shall be held before the Board in its new composition. Fresh oral proceedings shall also be held if so requested by the new member and if the other members of the Board concerned have given their agreement.

(2) Each new member shall be bound to the same extent as the other members by an interim decision which has already been taken.

(3) If, when a Board has already reached a final decision, a member is unable to act, he shall not be replaced by an alternate. If the Chairman is unable to act, the member of the Board concerned having the longer or longest service on the Boards of Appeal or, in the case where members have the same length of service, the elder or eldest member, shall sign the decision on behalf of the Chairman.

Article 9

Enlargement of a Board of Appeal

If a Board of Appeal consisting of two technically qualified members and one legally qualified member considers that the nature of the appeal requires that the Board should consist of three technically qualified members and two legally qualified members, the decision to enlarge the Board shall be taken at the earliest possible stage in the examination of that appeal.

Article 10

Consolidation of appeal proceedings

(1) If several appeals are filed from a decision, these appeals shall be considered in the same proceedings.

(2) If appeals are filed from separate decisions and all the appeals are designated to be examined by one Board in a common composition, that Board may deal with those appeals in consolidated proceedings with the consent of the parties.

Article 11

Remission to the department of first instance

A Board shall remit a case to the department of first instance if fundamental deficiencies are apparent in the first instance proceedings, unless special reasons present themselves for doing otherwise.

Article 12

Basis of proceedings

(1) Appeal proceedings shall be based on

(a) the notice of appeal and statement of grounds of appeal filed pursuant to Article 108 EPC;

(b) in cases where there is more than one party, any written reply of the other party or parties to be filed within four months of notification of the grounds of appeal;

(c) any communication sent by the Board and any answer thereto filed pursuant to directions of the Board.

(2) The statement of grounds of appeal and the reply shall contain a party's complete case. They shall set out clearly and concisely the reasons why it is requested that the decision under appeal be reversed, amended or upheld, and should specify expressly all the facts, arguments and evidence relied on. All documents referred to shall be

(a) attached as annexes insofar as they have not already been filed in the course of the grant, opposition or appeal proceedings or produced by the Office in said proceedings;

(b) filed in any event to the extent that the Board so directs in a particular case.

(3) Subject to Articles 113 and 116 EPC the Board may decide the case at any time after filing of the statement of grounds of appeal or, in cases where there is more than one party, after the expiry of the time limit in (1)(b).

(4) Without prejudice to the power of the Board to hold inadmissible facts, evidence or requests which could have been presented or were not admitted in the first instance proceedings, everything presented by the parties under (1) shall be taken into account by the Board if and to the extent it relates to the case under appeal and meets the requirements in (2).

(5) Extension of time limits may exceptionally be allowed in the Board's discretion following receipt of a written and reasoned request.

Article 13

Amendment to a party's case

(1) Any amendment to a party's case after it has filed its grounds of appeal or reply may be admitted and considered at the Board's discretion. The discretion shall be exercised in view of inter alia the complexity of the new subject-matter submitted, the current state of the proceedings and the need for procedural economy.

(2) Other parties shall be entitled to submit their observations on any amendment not held inadmissible by the Board ex officio.

(3) Amendments sought to be made after oral proceedings have been arranged shall not be admitted if they raise issues which the Board or the other party or parties cannot reasonably be expected to deal with without adjournment of the oral proceedings.

Article 14

Interventions

Articles 12 and 13 shall apply mutatis mutandis to interventions commenced while an appeal is pending.

Article 15

Oral proceedings

(1) If oral proceedings are to take place, the Board may send a communication drawing attention to matters which seem to be of special significance, or to the fact that questions appear no longer to be contentious, or containing other observations that may help concentration on essentials during the oral proceedings.

(2) A change of date for oral proceedings may exceptionally be allowed in the Board's discretion following receipt of a written and reasoned request made as far in advance of the appointed date as possible.

(3) The Board shall not be obliged to delay any step in the proceedings, including its decision, by reason only of the absence at the oral proceedings of any party duly summoned who may then be treated as relying only on its written case.

(4) The Chairman presides over the oral proceedings and ensures their fair, orderly and efficient conduct.

(5) When a case is ready for decision during oral proceedings, the Chairman shall state the final requests of the parties and declare the debate closed. No submissions may be made by the parties after the closure of the debate unless the Board decides to re-open the debate.

(6) The Board shall ensure that each case is ready for decision at the conclusion of the oral proceedings, unless there are special reasons to the contrary. Before the oral proceedings are closed, the decision may be announced orally by the Chairman.

Article 16

Costs

(1) Subject to Article 104, paragraph 1, EPC, the Board may on request order a party to pay some or all of another party's costs which shall, without limiting the Board's discretion, include those incurred by any

(a) amendment pursuant to Article 13 to a party's case as filed pursuant to Article 12, paragraph 1;

(b) extension of a time limit;

(c) acts or omissions prejudicing the timely and efficient conduct of oral proceedings;

(d) failure to comply with a direction of the Board;

(e) abuse of procedure.

(2) The costs ordered to be paid may be all or part of those incurred by the receiving party and may inter alia be expressed as a percentage or as a specific sum. In the latter event, the Board's decision shall be a final decision for the purposes of Article 104, paragraph 3, EPC. The costs ordered may include costs charged to a party by its professional representative, costs incurred by a party itself whether or not acting through a professional representative, and the costs of witnesses or experts paid by a party but shall be limited to costs necessarily and reasonably incurred.

Article 17

Communications to the parties

(1) In the written phase of proceedings, replies to requests and directions on matters of procedure shall be given by means of communications.

(2) If a Board deems it expedient to communicate with the parties regarding a possible appreciation of substantive or legal matters, such communication shall be made in such a way as not to imply that the Board is in any way bound by it.

Article 18

EPO President's right to comment

The Board may, on its own initiative or at the written, reasoned request of the President of the European Patent Office, invite him to comment in writing or orally on questions of general interest which arise in the course of proceedings pending before it. The parties shall be entitled to submit their observations on the President's comments.

Article 19

Deliberation and voting

(1) If the members of a Board are not all of the same opinion, the Board shall meet to deliberate regarding the decision to be taken. Only members of the Board shall participate in the deliberations; the Chairman may, however, authorise other officers to attend. Deliberations shall be secret.

(2) During the deliberations between members of the Board, the opinion of the rapporteur shall be heard first, followed by that of the additional rapporteur if one has been appointed and, if the rapporteur is not the Chairman, the Chairman's last.

(3) If voting is necessary, votes shall be taken in the same sequence; even if the Chairman is the rapporteur, he shall vote last. Abstentions shall not be permitted.

Article 20

Deviations from an earlier decision of any Board or from the Guidelines

(1) Should a Board consider it necessary to deviate from an interpretation or explanation of the Convention given in an earlier decision of any Board, the grounds for this deviation shall be given, unless such grounds are in accordance with an earlier opinion or decision of the Enlarged Board of Appeal. The President of the European Patent Office shall be informed of the Board's decision.

(2) If, in its decision, a Board gives a different interpretation of the Convention to that provided for in the Guidelines, it shall state the grounds for its action if it considers that this decision will be more readily understood in the light of such grounds.

Article 21

Deviation from an earlier decision or opinion of the Enlarged Board of Appeal

Should a Board consider it necessary to deviate from an interpretation or explanation of the Convention contained in an earlier opinion or decision of the Enlarged Board of Appeal, the question shall be referred to the Enlarged Board of Appeal.

Article 22

Referral of a question to the Enlarged Board of Appeal

(1) If a point is to be referred to the Enlarged Board of Appeal, a decision to this effect shall be taken by the Board concerned.

(2) The decision shall contain the items specified in Rule 102, sub-paragraphs (a), (b), (c), (d) and (f) EPC and the point which the Board refers to the Enlarged Board of Appeal. The context in which the point originated shall also be stated.

(3) The decision shall be communicated to the parties.

Article 23

Binding nature of the Rules of Procedure

These Rules of Procedure shall be binding upon the Boards of Appeal, provided that they do not lead to a situation which would be incompatible with the spirit and purpose of the Convention.

Article 24

Entry into force

These Rules of Procedure shall enter into force upon entry into force of the revised text of the European Patent Convention in accordance with Article 8 of the Revision Act.

Done at Munich on 12 September 2007

For the Presidium

The Chairman

Peter MESSERLI

III.3
Additional Rules of Procedure of the Disciplinary Board of Appeal of the European Patent Office

Version consolidating the version published in OJ EPO 1980, 188 and the amendments published in OJ EPO 2007, 548 ff

The Disciplinary Board of Appeal of the European Patent Office provided for in Article 5(c) of the Regulation on Discipline for Professional Representatives of 21 October 1977 (hereinafter called the "Discipline Regulation") hereby adopts under Article 25, paragraph 2, thereof, in lieu of the provisional Additional Rules of Procedure adopted on 30 November 1979 and approved by a decision of the Administrative Council of that date, the following Additional Rules of Procedure:

Article 1

Business Distribution Scheme

The Chairman of the Disciplinary Board of Appeal shall, at the beginning of each working year, draw up a scheme for handling all appeals that may be filed during the year, designating the members responsible for the examination of all appeals and their alternates and including a rota drawn up in accordance with Article 10, paragraph 4, of the Discipline Regulation. The scheme may be amended during the working year.

Article 2

Replacement of members

(1) Reasons for replacement by alternates shall, in particular, include conflicting interests, sickness, excessive workload and commitments which cannot be avoided.

(2) Any member requesting to be replaced by an alternate shall inform the Chairman of the Disciplinary Board of Appeal of his unavailability without delay.

(3)3 The Chairman of the Disciplinary Board of Appeal may designate another legally qualified member of the Disciplinary Board of Appeal to replace him or her as Chairman in a particular appeal in accordance with the business distribution scheme.

Article 3

Exclusion and objection

(1) If the Disciplinary Board of Appeal has knowledge of a possible reason for exclusion or objection which does not originate from the member himself or from any party to the proceedings, then the Disciplinary Board of Appeal shall decide as to the action to be taken without the participation of the member concerned. For the purpose of taking this decision, the member concerned shall be replaced by his alternate.

(2) The member concerned shall be invited to present his comments as to whether there is a reason for exclusion.

(3) Before a decision is taken on the exclusion of a member, there shall be no further proceedings in the case.

Article 44

The Registrar

A Registrar to the Boards of Appeal of the European Patent Office shall act as Registrar to the Disciplinary Board of Appeal. A further employee of the European Patent Office shall be appointed by the Chairman of the Disciplinary Board of Appeal to act as deputy Registrar where the Registrar is unable to act.

Article 5

Rapporteurs

(1) The Chairman of the Disciplinary Board of Appeal shall for each appeal designate a legally qualified member, or himself, as rapporteur.

(2) The rapporteur may conduct preparatory inquiries in accordance with Articles 15 and 25, paragraph 1, of the Discipline Regulation; he shall prepare draft communications, carry out other preliminary work and draft decisions.

(3) Draft communications and decisions shall be sent to the other members of the Disciplinary Board of Appeal, who shall either approve them or make suggestions for amendment. If no agreement can be reached by this means, the Board shall meet to decide jointly on the final text.

(4) Communications shall be signed by the rapporteur on behalf of the Disciplinary Board of Appeal.

(5) The rapporteur shall make the preparations for meetings of the Disciplinary Board of Appeal and for oral proceedings. He will set out the issues that need to be determined and, if necessary, will send a communication to the parties to this effect.

(6) If the rapporteur considers that his knowledge of the language of the proceedings is insufficient for drafting communications or decisions, he may draft these in one of the other official languages of the European Patent Office. The drafts shall be translated by the European Patent Office into the language of the proceedings and the translations shall be checked by the rapporteur or by another member of the Disciplinary Board of Appeal.

Article 6

Filing of an Appeal

(1) A notice of appeal shall contain the name and address of the appellant and shall identify the decision appealed against and shall state which parts of the decision are appealed against or whether the whole decision is appealed against and the relief which the appellant seeks. It shall be signed by the appellant or by his representative. A representative signing a notice of appeal shall produce his written authorisation to act on behalf of the appellant.

(2)5 A notice of appeal and any written statement setting out the grounds of appeal may be filed by facsimile but a signed document reproducing the contents of every such notice and statement shall be filed within two weeks of the receipt of the facsimile.

Article 7

Transmission of Appeal Documents

(1) The Chairman of the Disciplinary Board of Appeal shall cause a copy of every notice of appeal and statement of grounds filed by a professional representative to be sent to the President of the Council of the Institute of Professional Representatives, the President of the European Patent Office and the Chairman of the Disciplinary Body against whose decision the appeal has been lodged.

(2) The President of the Council of the Institute of Professional Representatives and the President of the European Patent Office respectively shall ensure that a copy of every notice of appeal and statement of grounds filed by him is sent direct to the professional representative concerned or to his representative.

Article 8

Minutes

(1)6 Minutes of oral proceedings and of the taking of evidence shall be drawn up by the Registrar or such other employee of the European Patent Office as the Chairman of the Disciplinary Board of Appeal may nominate. Rule 124 EPC shall apply mutatis mutandis to the taking of such minutes.

(2) The Chairman of the Disciplinary Board of Appeal may direct that tape recordings of any oral evidence and of any oral statements may be made in addition to minutes of such evidence and statements.

Article 9

Language of the Proceedings

(1)7 The language of the proceedings shall be the official language of the European Patent Office in which the proceedings were conducted before the Disciplinary Body whose decision is appealed against but Rule 4 EPC shall apply mutatis mutandis to proceedings before the Disciplinary Board of Appeal.

(2) If oral proceedings are to take place and, at least two weeks before the date laid down for such proceedings, the professional representative concerned requests interpretation into and from his own language, the Chairman of the Board shall make the necessary arrangements.

(3) If the professional representative concerned so requires, he shall receive translations into his own language of all documents relating to his case and he may defend himself in his own language.

Article 10

Change in the composition of the Board

(1) If the composition of the Disciplinary Board of Appeal is changed after oral proceedings, each party concerned shall be informed that, at his request, fresh oral proceedings shall be held before the Disciplinary Board of Appeal in its new composition. Fresh oral proceedings shall also be held if so requested by the new member and if the other members of the Disciplinary Board of Appeal have given their agreement.

(2) The new member shall be bound to the same extent as the other members by an interim decision which has already been taken.

(3) If, when the Board has already reached a final decision, a member of the Board is unable to act, he shall not be replaced by his alternate. If the Chairman is unable to act, the legally qualified member of the Board having the longer service on the Board or, in the case where members have the same length of service, the elder member, shall sign the decision on behalf of the Chairman.

Article 11

Consolidation of Appeal Proceedings

(1) If several appeals are filed from a decision, these appeals shall be considered in the same proceedings.

(2) If appeals are filed from separate decisions and are designated to be considered by the Disciplinary Board of Appeal in a common composition, the Board may deal with these appeals in consolidated proceedings with the consent of the parties.

Article 12

Remission to the Disciplinary Committee or the Disciplinary Board or the Examination Board

If fundamental deficiencies are apparent in proceedings before the Disciplinary Body whose decision is under appeal or before the Examination Board, the Disciplinary Board of Appeal shall remit a case to that Body or Board, unless special reasons present themselves for doing otherwise.

Article 13

Oral Proceedings

(1) If oral proceedings are to take place, the Disciplinary Board of Appeal shall endeavour to ensure that all relevant information and documents have been provided before the hearing.

(2) The Board may send with the summons to oral proceedings a communication drawing attention to matters which seem to be of special significance, or to the fact that questions appear no longer to be contentious, or containing other observations that may help concentration on essentials during the oral proceedings.

(3) If oral proceedings take place, the Board shall endeavour to ensure that each case is ready for decision at the conclusion of the oral proceedings, unless there are special reasons to the contrary.

Article 14

Communications to the Parties

If, before a Decision is taken, the Disciplinary Board of Appeal deems it expedient to communicate with the parties concerned regarding a possible appreciation of substantive or legal matters, such communication shall be made in such a way as not to imply that the Board is in any way bound by it.

Article 15

Deliberations preceding Decisions

If the members of the Disciplinary Board of Appeal are not all of the same opinion, the Board shall meet to deliberate regarding the decision to be taken. No other person except the Registrar and any interpreters attending in accordance with Article 9 hereof may be present during deliberations of the Board.

Article 16

Order of Voting

(1) During the deliberations between members of the Disciplinary Board of Appeal, the rapporteur's opinion shall be heard first and, if the rapporteur is not the Chairman, the Chairman's last.

(2)8 If voting is necessary, votes shall be taken in the same sequence; even if the Chairman is the rapporteur, he shall vote last. Abstentions shall not be permitted.

Article 17

Decisions

9Unless the effect of a decision is to uphold the dismissal of the matter or to remit the case as provided for in Article 12 hereof, the decision shall state which Rule of Professional Conduct has been violated and which, if any, recommendation made in accordance with Article 4, sub-paragraph (c), of the Regulation on the Establishment of an Institute of Professional Representatives before the European Patent Office, has not been observed. Rule 102 EPC shall apply mutatis mutandis.

Article 18

Publication of Decisions

It shall be within the discretionary power of the Disciplinary Board of Appeal to publish decisions without, however, revealing the identity of the parties concerned or the complainant, unless they respectively consent to be named.

Article 19

Entry into Force

These Additional Rules of Procedure shall enter into force on the date on which they are approved by the Administrative Council of the European Patent Organisation. Simultaneously with their entry into force, the Additional Rules of Procedure of the Disciplinary Board of Appeal adopted by that Board on 30 November 1979 and approved by the Administrative Council of the European Patent Organisation by a Decision of the same date, shall cease to have effect.

Done at Munich, 9 April 1980

For the Disciplinary Board of Appeal of the European Patent Office

The Chairman

G. TROTTA