Pages 9-17

Annex A.1 to the ADA - Arrangements for the automatic debiting procedure (AAD)¹

CONTENTS

1. Automatic debiting procedure

2. Types of proceedings covered

3. Fee types covered

4. Fee types not covered

5. Automatic debit order and automatic debiting

6. Decisive payment date

7. Insufficient funds (shortfall)

8. Replenishing the account after notification of insufficient funds

9. Administrative fee

10. Amendment and correction of debit

11. Subsequent filing of the automatic debit order

12. Use of other methods of payment

13. Revocation of an automatic debit order

14. Termination of the automatic debiting procedure

15. Statements of account

1. Automatic debiting procedure

A deposit account may also be debited on the basis of an automatic debit order signed by the account holder (automatic debiting procedure). Such an order may be filed only for the applicant or patentee or his representative, and extends to all types of fees covered by the automatic debiting procedure and payable by him in respect of the proceedings specified in the automatic debit order. As the proceedings progress, each such fee is debited automatically and recognised as received in time. The automatic debit order may not be restricted to specific types of fees.

2. Types of proceedings covered

Automatic debiting is allowed for:

(a) European patent applications,

(b) international applications entering the European phase (Euro-PCT applications),

(c) European patents, for the patentee as party to opposition or subsequent appeal proceedings.

3. Fee types covered

Automatic debiting is allowed for all fee types except those expressly excluded under point 4 below, and in particular for the following:

(a) filing fee (Article 78(2) EPC)

(b) national basic fee (Rules 106(a) and 107(1)(c) EPC)

(c) search fee for a European or supplementary European search (Article 78(2), Rule 46(1), Rule 112, Article 157(2)(b) EPC)

(d) designation fee for each contracting state designated (Article 79(2), Rules 106(b) and 107(1)(d) EPC)

(e) claims fee for the eleventh and each subsequent claim (Rules 31(1), 51(7) and 110 EPC)

(f) renewal fees for European patent applications (Article 86(1) EPC)

(g) examination fee (Article 94(2) EPC)

(h) fee for grant, including fee for printing the European patent specification (Article 97(2)(b) EPC)

(i) fee for printing a new European patent specification (Article 102(3)(b) EPC)

(j) fee for further processing (Article 121(2) EPC)

(k) fee for re-establishment of rights (Article 122(3) EPC), provided the application or patent has not already been finally settled

(l) fee for appeal (Article 108 EPC), if payable by the applicant or patent proprietor

(m) surcharge on the filing fee, search fee, or a designation fee (Rule 85a(1) or (2) EPC)

(n) surcharge for late filing of the request for examination (Rule 85b EPC)

(o) surcharge for late filing of either the translation of the international application or the request for examination, or for late payment of the national basic fee, the search fee or the designation fees (Rule 108(3) or (4) EPC2)

(p) additional fee for late payment of a renewal fee for the European patent application (Article 86(2) EPC)

(q) surcharge for late performance of the acts required under Rule 58(5) EPC (Rule 58(6) EPC)

(r) administrative fee for additional copy (copies) of the documents cited in the European search report

(s) administrative fee pursuant to point 9 below for late replenishment of the deposit account

(t) costs for additional European patent specification(s)

(u) extension fee for the extension of European patent applications and patents.

4. Fee types not covered

Automatic debiting is not allowed for the following:

(a) all fees payable by parties other than the applicant or patentee, notably the opposition fee

(b) conversion fee (Articles 136(1), 140 EPC)

(c) fee for the awarding of costs (Rule 63(3) EPC)

(d) fee for the conservation of evidence (Rule 75(3) EPC)

(e) fee for a technical opinion (Article 25 EPC)

(f) all fees, costs and prices laid down by the EPO President under Article 3 RFees, other than those listed in point 3(r) to (t) above.

5. Automatic debit order and automatic debiting

5.1 As from the date of receipt of the automatic debit order at the EPO, and as the proceedings progress, the EPO debits the account holder's deposit account in respect of all fees for which automatic debiting is allowed as they arise in respect of the proceedings specified in the automatic debit order in question, and treats them as paid in time, provided they fall due on or after the date of receipt of the order and the deposit account contains sufficient funds.

5.2 Each debit occurs on the basis of the application documents available when it is effected. The EPO takes into consideration, to the account holder's benefit or detriment, all factors known to it at that time which have a legal bearing on the fees, doing so in such a way as to safeguard all rights arising from the application.

5.3 The debit is effected in euro in the amount applicable for the fee in question on the date to be considered as the date on which payment is made (hereinafter "decisive payment date").

6. Decisive payment date

6.1 Except where otherwise provided under points 8 and 11 below, payments under the automatic debiting procedure are considered to have been received

(a) for fees subject to time limits for payment:

on the last day of the period for paying the fee;

(b) for renewal fees

•  for European patent applications:

on the date they fall due (Rule 37(1), first sentence, EPC);

•  for European divisional applications:

on the last day of the period under Rule 37(3), second sentence, EPC);

•  for international applications entering the European phase:

on the date they fall due (Rule 107(1)(g) in conjunction with Rule 37(1) EPC);

(c) for fees for re-establishment of rights, further processing and appeal:

on the date of receipt of the request for re-establishment or further processing, or of the appeal;

(d) for administrative fees and costs (see point 3(r), (s) and (t) above):

on their due date (Article 4(1) RFees).

6.2 Provided the conditions under point 5 above are met, the above dates are the decisive payment date for the purposes of Article 8(2) RFees.

7. Insufficient funds (shortfall)

7.1 If on the decisive payment date there are insufficient funds in the deposit account to pay one or more fees in respect of a particular application, the account holder is notified accordingly by post, fax or e-mail.

7.2 If the funds are only partly insufficient, fees are debited in ascending order of application number until the funds are exhausted.

8. Replenishing the account after notification of insufficient funds

8.1 If, within one month of receipt of the communication under point 7 above, the deposit account is sufficiently replenished to enable the fee and the administrative fee under point 9 below to be paid, the EPO debits the fee and the administrative fee automatically and payment is deemed to have been made on the original decisive payment date.

8.2 If after replenishment there are sufficient funds to debit the fee but not the administrative fee as well, payment is deemed to have been made on the date on which the deposit account is suitably replenished.

8.3 If the EPO is informed within the period referred to in point 8.1 above that recognition of the original decisive payment date is not required, only the fee is debited and payment is then deemed to have been made on the date on which the deposit account was replenished.

9. Administrative fee

The administrative fee is 5% of the shortfall in the account – but not less than euro 50 or more than euro 765 – per decisive payment date affected.

10. Amendment and correction of debit

10.1 If after actually debiting a fee the EPO becomes aware of any change to the legal basis on which it did so, and which was brought to the attention of the EPO or competent national authority (see point 6.9 ADA) before the decisive payment date, if need be the EPO amends the debit retroactively to the original decisive payment date.

10.2 If the EPO finds that an automatic debit order was wrongly executed, it corrects the debit with effect for the original decisive payment date.

11. Subsequent filing of the automatic debit order

11.1 If an automatic debit order is not received by the EPO until after expiry of the basic time limit for paying a fee which may be paid late together with a surcharge, and after despatch of the communication informing the account holder that he can validly pay the fee together with a surcharge (Rules 85a(1) and 85b, Rule 108(3), Article 86(2), Rule 58(6) EPC), both fee and surcharge are debited automatically and payment is deemed to have been received on the last day of the period of grace. If the automatic debit order is received before despatch of the said communication, the latter is despatched accompanied by a note indicating that in future the automatic debiting procedure will apply.

11.2 If an automatic debit order is not received by the EPO until during the period of grace for paying the claims fees under Rule 31(1), third sentence, or Rule 110(2) EPC, the claims fees are debited automatically and payment is deemed to have been received on the last day of the period of grace. If the automatic debit order is received before despatch of the communication regarding the possibility of paying the claims fees during a period of grace, the said communication is despatched accompanied by a note indicating that in future the automatic debiting procedure will apply.

11.3 If an automatic debit order is not received until during the period for requesting re-establishment or further processing or for filing an appeal, automatic debiting of the fee for re-establishment, further processing or appeal is effected on the day on which the request or appeal is received by the EPO, provided the automatic debit order was received before or together with the request or appeal. If the automatic debit order is received after the request or appeal has been filed, but before expiry of the period for doing so, payment of the fee is deemed to have been received on the date on which the automatic debit order was received.

11.4 The fee types not listed in points 11.1 to 11.3 above, and in particular fees not paid as a result of failure to perform a procedural act, are not covered by the automatic debiting procedure and must be paid by the applicant, patentee or representative on his own responsibility using another method of payment allowed under the RFees.

12. Use of other methods of payment

If in an individual case a fee is paid separately using another method of payment and before its decisive payment date, the EPO will not carry out the automatic debit order in respect of that fee.

13. Revocation of an automatic debit order

An automatic debit order may be revoked only for the proceedings as a whole. Debits may not be revoked in respect of fees whose decisive payment date precedes the date on which the revocation is received.

14. Termination of the automatic debiting procedure

The automatic debit order ceases to be effective on the day on which

(a) the grant of the European patent takes effect; if an opposition to the granted European patent is filed, the patentee's automatic debit order becomes effective again until the opposition or any subsequent appeal is finally settled

(b) the European patent application is withdrawn, finally refused or deemed withdrawn, or consolidated with another application to enable the examining division to carry out a single grant procedure

(c) a request is received for a transfer of rights to be recorded in the Register of European Patents under Rule 20(1) EPC, provided the automatic debits were being made from the deposit account of the party withdrawing from the proceedings and the said party simultaneously revokes his automatic debit order

(d) notification is received of the representative's withdrawal from the proceedings, provided the automatic debits were being made from the deposit account of the representative and he simultaneously revokes his automatic debit order

(e) suspension of the proceedings under Rule 13 EPC takes effect

(f) interruption of the proceedings under Rule 90 EPC takes effect.

15. Statements of account

Several times each month, the account holder is sent a detailed statement of account. Any errors noted on the basis of his own records must be notified to the EPO without delay. The EPO checks this information and, if need be, corrects the transaction retroactively to the original decisive payment date.