D 0011/91 (Disciplinary penalty) of 14.9.1994

European Case Law Identifier: ECLI:EP:BA:1994:D001191.19940914
Date of decision: 14 September 1994
Case number: D 0011/91
Application number: -
IPC class: -
Language of proceedings: FR
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Versions: OJ | OJ v2
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Board: DBA
Headnote: 1. The European Convention for the Protection of Human Rights contains provisions which express general principles of law common to the member states of the European Patent Organisation. As such these provisions should be regarded as forming part of the legal system of this Organisation and should be observed by all its departments. This therefore applies to Article 13, which guarantees each individual's right to be heard by a duly constituted tribunal. The "national authority" mentioned in this article is clearly meant to be understood as a competent authority in accordance with the law of the state concerned. However, in ratifying the Munich Convention, the contracting states accepted a transfer of prerogatives whereby professional representatives before the European Patent Office became subject to the same set of professional regulations, controlled by a central body whose decisions are open to effective remedy before a body of second instance whose independence is guaranteed by the rules governing its composition. The drafting of these regulations and the establishment of these bodies was thus consistent with the general principles of law, in particular those expressed in the European Convention for the Protection of Human Rights.
2. In order to ensure that the penalty is proportionate to the seriousness of the charges and that the maxim according to which penalties should not be arbitrary but fixed or predetermined is respected, Article 4(1)(e) of the Regulation on discipline for professional representatives, OJ EPO 1978, 91 (RDR) should be understood as meaning "for a period not defined by the text", that is for a discretionary period to be decided by the competent disciplinary body, which, in its decision, should fix the said period and give reasons for its choice.
Relevant legal provisions:
European Patent Convention 1973 Art 15
European Patent Convention 1973 Art 24
European Patent Convention 1973 Art 134(8)
Int.Cov. Civil and Political Rights, New York, 1966 Art 002
Int.Cov. Civil and Political Rights, New York, 1966 Art 014(3)(g)
Convention for the Protection of Human Rights and Fundamental Freedoms Art 6(1)
Convention for the Protection of Human Rights and Fundamental Freedoms Art 13
Protocol No. 1: Art 001
Protocol No. 7: Art 002(1)
Regulation on discipline for professional representatives Art 1(1)
Regulation on discipline for professional representatives Art 1(2)
Regulation on discipline for professional representatives Art 2
Regulation on discipline for professional representatives Art 3(1)
Regulation on discipline for professional representatives Art 4(1)(d)
Regulation on discipline for professional representatives Art 4(1)(e)
Regulation on discipline for professional representatives Art 6
Regulation on discipline for professional representatives Art 10
Regulation on discipline for professional representatives Art 13
Regulation on discipline for professional representatives Art 16
Regulation on discipline for professional representatives Art 18
Regulation on discipline for professional representatives Art 20
Regulation on discipline for professional representatives Art 22(3)
Regulation on discipline for professional representatives Art 25(2)
Code of conduct 1(c), 1(e)
Code of conduct 4(a)
Code of conduct 5(b) and (e)(a)
Code of conduct 6
Additional rules of procedure of the Disciplinary Board of Appeal Art 3
Additional rules of procedure of the Disciplinary Board of Appeal Art 8(1)
Additional rules of procedure of the Disciplinary Board of Appeal Art 12
Additional rules of procedure of the Disciplinary Board of Appeal Art 13(2)
Additional rules of procedure of the Disciplinary Board of Appeal Art 14
Keywords: Disciplinary proceedings - appeal - oral proceedings not public (confirmed) - request for separate ruling to be made on objections to procedure and objections to admissibility (rejected) - period for making submissions declared closed at oral proceedings - treatment of subsequent written submissions - content of minutes of oral proceedings - creation of disciplinary bodies and penalties ultra vires (no)
Disciplinary proceedings - disciplinary power - definition - exclusion and objection as auxiliary request (rejected) - binding nature of decision - ex officio action against infringements of the Rules of Professional Conduct occurring during proceedings (yes) - authority to act - charges amnestied under national law or not brought within national prescription period - effect with regard to international disciplinary bodies (none)
Professional representatives - discipline - defamatory remarks - exceptio veritatis - informing client
Professional representatives - blank power of attorney - use without client's knowledge
Disciplinary proceedings - obligation to submit information and to co-operate - conformity with Article 6(1) of the European Convention for the Protection of Human Rights (yes)
Disciplinary proceedings - appeal - referral to Disciplinary Board (no) - penalty - indefinite period - interpretation
Catchwords:

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Cited decisions:
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Citing decisions:
T 1627/09

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