2020年4月16日 星期四

歐洲專利審查的口審制度 - 筆記

本篇筆記討論歐洲審查的口頭審理(oral proceedings)。

EPC Article 116規範口頭審理程序,這是因應相關人(審查委員、專利申請人、訴訟任一方)提出的口審請求,但僅在EPO認為需要,或是案件將要被駁回(審定)時才會同意召開口審程序。

在審查部門或法律部門的口審程序並非公開程序。

但當專利申請案已經公開,關於訴願委員會與擴大訴願委員會的口頭審理程序則是應該是公開的程序,但如果公眾參與會產生不利影響,也不見得要公開。

歐洲專利審查規則「Rule 115(1)」訂出召開口頭審理的基本規定,是依據EPC Article 116的規定,任何一方可以依據EPC Art. 116規定召開口頭審理程序(Oral Proceedings),官方提供2個月期限,讓專利申請人提出口審意見,申請人可以不出席,但須提出書面資料(包括技術答辯、回應OA內容、專利範圍修正)。

關於細節,可參考歐洲審查指南Part E, Chapter III (Oral Proceedings),其中第5節規定口審的預備(Preparation of oral proceedings ),有關召開口頭審理的規定在第6節,以下有些筆記:

  • 口頭審理程序為EPO的權宜程序,可以自為決定,但有關聯的各方也可提出。
  • 口頭審理程序經常是審查階段最後一次的答辯機會,之後若專利被終駁,就要進入訴願程序。
  • 進入口頭審理之前,專利申請人可以提出多個答辯與修正的版本,這是與其他各國很不一樣的地方。
  • 相關部門(如審查部門、訴願部門或異議程序的部門(訴願委員會))應設定一個口頭審理的日期。
  • 召開口頭審理程序的通知應伴隨要討論的議題。
  • 召開口頭審理程序的單位可以引用新文獻。
  • 口頭審理程序應為較後端的程序,如果有引述新的文獻,又是早期程序,應以一般審查意見(communication)處理。
  • 如果同時有多件異議程序,即便都是不同的議題,可以一次口頭審理處理。


[相關規定]
Guidelines for Examination
Part E, Chapter III (Oral Proceedings), 

5. Preparation of oral proceedings 

The purpose of oral proceedings is to settle as far as possible all outstanding questions relevant to the decision. To this end proceedings will be carefully prepared after examination of all the written matter submitted and with this in mind the most appropriate date for conducting oral proceedings is chosen.

When preparing oral proceedings, particularly in opposition, the division considers carefully whether complex legal issues are likely to arise, and it may therefore decide to enlarge the division by adding a legally qualified member (Art. 18(2) and 19(2)).


Insofar as certain questions relevant to the decision are considered by the EPO to require discussion, it will in many cases be expedient to inform the party or parties in a notice and possibly also to invite one or more of the parties to submit written observations or to produce evidence, where appropriate. Parties may produce evidence in support of their arguments on their own initiative. Where, however, the evidence is such as should have been put forward at an earlier stage, e.g. in opposition proceedings pursuant to D‑IV, 1.2.2.1(v) and 5.4, it is for the competent body to consider whether the evidence not filed in due time is to be admitted (see E‑VI, 2). Any observations should be received in time for them to be communicated to the other parties at the latest one month before the oral proceedings. The time limit for submission of observations is fixed accordingly, particularly where the invitation to file observations is issued at the same time as the summons to oral proceedings.

6 (Summons to oral proceedings)

All parties must be duly summoned to oral proceedings by notification. The summons must state the subject and the date and time of the oral proceedings.

The division sets a single date for the oral proceedings, i.e. one day or, in particular cases, more than one consecutive day. No pre-announcement of the date by phone or fax will be made. Oral proceedings may be set for any working day on which the EPO is open at the relevant site.

The summons will be accompanied by a note drawing attention to the points which need to be discussed, normally containing the provisional and non-binding opinion of the division. New documents may be cited in the annex to the summons (T 120/12), together with an explanation of their significance. However, the examiner must carefully consider on a case-by-case basis whether citing a new document would introduce a new line of argument. At an early stage in the procedure, he must consider sending a further communication before issuing any summons if a new document needs to be cited. For the additional requirements of the accompanying note if the summons is issued as the first action in examination, see C‑III, 5. The summons as well as the annexed communication can only be appealed together with the final decision unless a separate appeal is allowed (see E‑X, 3).

The summons will also fix a date up to which written submissions may be filed or amendments which meet the requirements of the EPC may be submitted (see also D‑VI, 3.2).

Rule 115(1) stipulates that at least two months' notice of the summons must be given unless the parties agree to a shorter period. Such agreement must be present in the public part of the file.

Harmonised with the standards applied in the written procedure (E‑VIII, 1.2), the practice outlined below is followed in setting the date of the oral proceedings to allow the parties sufficient time for preparing and filing submissions:

(i)
Any time limit (even shorter than two months) may be set provided that prior agreement has been reached with the parties. 
(ii)
Normally, the summons is issued at least four months ahead of the day of the oral proceedings in examination and at least six months ahead of the day of the oral proceedings in opposition. 
(iii)
Between two and four months' notice can be given without preliminary agreement only in specific circumstances, since the parties would have very limited time for filing submissions before the date fixed in the summons. Examples are where, in examination, the summons follows an extensive exchange between the first examiner and the applicant, or where the oral proceedings must be postponed (see also E‑III, 7.2).
(iv)
Where the summons is issued as the first action in examination, six months are foreseen between the despatch of the summons and the date of the oral proceedings (see C‑III, 5).
The summons must state that if a party duly summoned does not appear as summoned, the proceedings may continue without him.

In opposition proceedings as a rule, even oral proceedings requested on the basis of totally different grounds for opposition are conducted as a single set of proceedings.


In cases of multiple oppositions, all oral proceedings requested are dealt with in a single session, even if the oppositions are based on different grounds (see D‑I, 6). This means that all the parties must be summoned to attend them and may present comments on all grounds raised.

Article 116 Oral proceedings
(1) Oral proceedings shall take place either at the instance of the European Patent Office if it considers this to be expedient or at the request of any party to the proceedings. However, the European Patent Office may reject a request for further oral proceedings before the same department where the parties and the subject of the proceedings are the same. 
(2) Nevertheless, oral proceedings shall take place before the Receiving Section at the request of the applicant only where the Receiving Section considers this to be expedient or where it intends to refuse the European patent application. 
(3) Oral proceedings before the Receiving Section, the Examining Divisions and the Legal Division shall not be public. 

(4) Oral proceedings, including delivery of the decision, shall be public, as regards the Boards of Appeal and the Enlarged Board of Appeal, after publication of the European patent application, and also before the Opposition Divisions, in so far as the department before which the proceedings are taking place does not decide otherwise in cases where admission of the public could have serious and unjustified disadvantages, in particular for a party to the proceedings. 

Rule 115 Summons to oral proceedings
(1) The parties shall be summoned to oral proceedings under Article 116, drawing their attention to paragraph 2 of this Rule. At least two months' notice of the summons shall be given, unless the parties agree to a shorter period.

(2) If a party duly summoned to oral proceedings before the European Patent Office does not appear as summoned, the proceedings may continue without that party. 

Ron

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