Key points
- The Board provides an extensive analysis of when an OD has discretionary power to hold a submission inadmissible, in the Board's view. The Board reaches a conclusion that differs from a (key) statement in the GL. It took me some time to appreciate the decision.
- The decision is in German, and I had to clean up the HTML publication (excess line breaks) before the machine translation went well.
- The proprietor is the appellant and objects to the decision of the OD to hold AR-1 (and 2) inadmissible. The proprietor filed those requests during the oral proceedings before the OD. The proprietor argues that the requests should have been admitted, "because [the OD's] preliminary opinion on novelty had been favourable to the patent proprietor and [the OD] had changed its view on this matter during the oral proceedings". AR-1 changed the device claims into use claims. The patent was granted with only device claims. The use claim concerns the use of the device "zum sexuellen Stimulieren eines Bereichs im Inneren einer Vagina".
- The OD held the requests inadmissible "for lack of prima facie allowability in view of Article 53(c) EPC".
- "The Board ... notes that ... auxiliary requests 1 and 2 ... were intended to overcome the objections of lack of novelty over D2 and D3, which had already been raised in the notice of opposition."
- Accordingly, Th proprietor's rights under Article 113(1) EPC were no issue.
- However, the proprietor argued that the ARs were not "late filed" in the meaning of Art. 114 (and Rule 116) such that the OD had no power to hold them inadmissible.
- I think that Article 123(1) is the relevant provision for amended claims; see e.g. T 966/17, but the current Board gives reasons why it refers to Article 114(2) EPC. Amended claims were seen as 'facts' in earlier decision T 1776/18 (with the same legal member; from 2022), and my comments on that decision can be found here - link.
- The Board, in translation: "The prerequisite for discretion under Article 114(2) EPC is that the submission in question is “late”. "
- The Board: "Whether a submission is late within the meaning of this provision depends exclusively on the point in time at which it was made. In opposition proceedings, objections and evidence submitted or filed by an opponent after expiry of the opposition period under Article 99(1) EPC, as well as sets of claims or evidence filed by a patent proprietor after expiry of the period under Rule 79(1) EPC, are generally to be regarded as late-filed within the meaning of Article 114(2) EPC"
- Be careful to note that th Board's phrase "within the meaning of this provision" - i.e., Art. 114 EPC - implies "without regard to Article 113(1)".
- Understood in that way, I can agree with the Board's statement (see my post on T 098/19), leaving aside Rule 116 for the moment.
- The Board: "The reason why a party made a submission only after the aforementioned points in time is irrelevant to the question of whether the deciding department of the European Patent Office has discretion. The question whether a department has discretion within the meaning of Article 114(2) EPC must be distinguished from the question of the criteria according to which that discretion is to be exercised and how those criteria are to be applied in an individual case".
- "Considerations as to whether new submissions were, for example, permitted as an immediate reaction to a change in the subject of the proceedings are irrelevant to whether there is discretion as to admissibility; they concern exclusively the question of how that discretion is to be exercised"
- This confirms that the Board considers that the OD has a "discretion", even if a decision to hold the submission inadmissible violates Article 113(1) EPC (namely in the case of an "immediate reaction to a change in the subject of the proceedings"). This makes sense under the separate treatment of Article 113(1) and Article 114(2).
- In the case at hand, the OD changed its view on novelty during the oral proceedings and decided that D2 was novelty-destroying.
- The Board: "in the predominant recent case law of the Boards, a change in the Opposition Division's preliminary opinion is not, in itself, regarded as a reason why the Opposition Division should have no discretion when admitting newly filed sets of claims" (after an extensive review).
- However, the Guidelines state that E-VI,2.2.2 (current version, 2026): "the examining or opposition division departs from a previously notified opinion: for example, contrary to its preliminary opinion set out in the annex to the summons, the opposition division concludes during oral proceedings that an objection prejudices the maintenance of the patent. In these examples, a request for amendment made by the applicant or proprietor in response cannot be rejected as late-filed."
- "The Board points out, pursuant to Article 20(2) RPBA, that the interpretation of the EPC adopted in the present decision differs [from the] Guidelines for Examination, point E-VI 2.2.2. ... In the Board's view, the statements in point E-VI 2.2.2 of the Guidelines concerning Rule 116(2) EPC and the existence of discretion as to admissibility of the Opposition Division are contrary not only to the present decision but, as explained above, also to the predominant recent case law of the Boards."
- The passage in the Guidelines interprets Rule 116(2), second sentence, as it refers to Rule 116(1), fourth sentence, in particular the final clause thereof: "New facts and evidence presented after that date need not be considered, unless admitted on the grounds that the subject of the proceedings has changed."
- A question is, therefore, whether the passage in the GL correctly interprets Rule 116.
- In fact, the issue is twofold: (1) whether a change from the preliminary opinion is a change of the subject of the proceedings in the sense of Rule 116, and (2) whether, for any change of the subject of the proceedings (the GL give more examples), the OD is obliged to admit new facts.
- Question (1) is answered above: "a change in the Opposition Division's preliminary opinion is not, in itself, regarded as a reason why the Opposition Division should have no discretion when admitting newly filed sets of claims"
- The travaux préparatoires to Rule 116 can be found, effectively, in the Notice in OJ 1995 p.409. The Notice says that "The procedure under Rule71a is described in more detail in revised Guidelines E-III, 6 and 8.6." (see here for the GL text as of 1995). The statement "the examining or opposition division departs from a previously notified opinion" was not yet included in th GL then. It was included in the GL 2007, E-III 8.6, referring to T 273/04, r.5 (2006). The reasoning in that decision is plain and simple.
- Regarding point (2), the Board is of the view that the GL interpret Rule 116 incorrectly: "Rule 116(2) EPC ... does not restrict the discretion available to the Opposition Division under Article 114(2) EPC (see T 1776/18, Reasons 4.7.8)."
- The Board does not seem to give substantive reasons for that conclusion in the present decision, other than by referencing T 1776/18 (same legal member)
- I commented on T 1776/18 before (link). Cited point 4.7.8 is about Rule 116(2). The relevant reasoning about Rule 116(1), fourth sentence, is in point 4.6.8: "the word "admitted" expresses the exercise of discretionary power, and the phrase "on the grounds" indicates a criterion for exercising this discretionary power. Rule 116(1), fourth sentence, EPC thus confirms that a change in the subject of the proceedings must be taken into account by the Opposition Division in the course of exercising its discretion."
- That reasoning in T 1776/18 seems to address question (2). As I understand it, the TBA reasons that the word "admitted" assumes the existence of a discretionary power (also) in the event that the subject of the proceedings has been changed. This may be correct if we understand "discretionary" as "to be exercised in compliance with Article 113".
- The French version of Rule 116(1), fourth sentence, seems the most helpful: "De nouveaux faits ou preuves présentés après cette date peuvent ne pas être pris en considération, à moins qu'il ne convienne de les admettre en raison d'un changement intervenu dans les faits de la cause." - unless it is appropriate (my translaton of 'convienne' ) to admit newly submitted facts because of a change in the circumstances of the case; the term 'convienne' more clearly permits using a plurality factors to determine whether it is appropriate to admit the newly asserted facts.
- The Board notes that: " Point E.VI.2.2.2 states that amendments filed before the point in time specified in Rule 116(1) EPC generally cannot be regarded as late-filed."
- A third question is whether the Board's view, that "Rule 116(2) EPC ... does not restrict the discretion available to the Opposition Division under Article 114(2) EPC", also means that GL are incorrect in stating that "amendments filed before the point in time specified in Rule 116(1) EPC generally cannot be regarded as late-filed" (and be held inadmissible?).
- This hinges on question (3): what is the status and meaning of the clause in Rule 116 that "New facts and evidence presented after that date need not be considered". Is the reference to that date in Rule 116(1), fourth sentence, first clause, meaningless, in that the situation is before and after the date the same?
- A related question is whether Rule 116 and/or the GL can limit the OD in how they excersise their power under Article 114.
- The proprietor apparently did not invoke the principle of (non) venire contra factum proprium (see, e.g., recently J 2/25).
- On medical methods
- For the perceived issue under Article 53(c), the OD cited as evidence D2, a patent application by the current proprietor, in which the use of the device was allegedly described as therapeutic. Consultation of D2 reveals that the term 'therapeutic ' was used only when D2 summarises what earlier prior art teaches in terms of known devices. Moreover, the use of D2 - namely, the stimulation of the clitoris - seems different from that of the current claims.
- The patent is about "a stimulation device [that] can be introduced into a human body, in particular into a vagina or a rectum, and comprises a pressure-field generating device for stimulating a region to be stimulated inside the human body"
- The Board notes, in connection with a different auxiliary request, that "Eine therapeutische Wirkung kann bei der beanspruchten sexuellen Stimulation nicht ausgeschlossen werden."
- Perhaps one day we will have substantive case law on the point in another case; there is enough patent litigation in the technical field at issue.
EPO
The link to the decision is provided after the jump, as well as the machine translation.