Pages 106-148

XIV. REPRESENTATIVES, EPI, DISCIPLINARY MATTERS

XIV.1
Regulation on the establishment of an institute of professional representatives before the European Patent Office

Regulation on the establishment of an institute of professional representatives before the European Patent Office (OJ EPO 1997, 350 with corrections according to OJ EPO 1997, 130, OJ EPO 2002, 429, OJ EPO 2004, 361 and OJ EPO 2007, 12)

The Administrative Council of the European Patent Organisation,

having regard to Article 134, paragraph 8(b), of the Convention on the Grant of European Patents of 5 October 1973,

whereas it is desirable to establish an Institute constituted by persons entitled to act as professional representatives,

has adopted this regulation:

Article 1

Establishment of the Institute

An Institute of Professional Representatives before the European Patent Office, hereinafter referred to as "the Institute", is hereby established.

Article 2

Legal status

(1) In each of the States party to the European Patent Convention, the Institute shall enjoy the most extensive legal capacity accorded to legal persons under the national law of that State; it may in particular acquire or dispose of movable and immovable property and may be party to legal proceedings.

(2) The Institute shall be non-profit making.

Article 3

Cover for expenditure

The expenditure of the Institute shall be covered by its own resources, derived in particular from the subscriptions of its members.

Article 4

Objects of the Institute

The objects of the Institute shall be to:

(a) collaborate with the European Patent Organisation on matters relating to the profession of professional representatives and in particular on disciplinary matters and on the European Qualifying Examination;

(b) aid in the dissemination of knowledge appertaining to the work of its members;

(c) promote compliance by its members with the Rules of Professional Conduct, inter alia through the formulation of recommendations;

(d) liaise as appropriate with the European Patent Organisation and other bodies on all matters relating to industrial property.

Article 5

Membership

(1)1 All persons on the list of professional representatives before the European Patent Office (zugelassener Vertreter vor dem EPA, European patent attorney, mandataire en brevets européens, for short) shall be members of the Institute. No other persons shall be members.

(2) The European Patent Office shall inform the Institute of all changes in the list.

Article 6

Subscriptions

(1) Each member shall pay an annual subscription.

(2) The amount of the subscription and other arrangements relating to payment shall be laid down by the Council of the Institute.

Article 7

The Council

(1)2 The members of the Institute shall elect a Council from among their number. Representatives and substitutes shall be elected in equal numbers. Elections shall take place every three years.

(2) Each State party to the European Patent Convention shall be a constituency in which such members shall be entitled to vote as have their place of business or employment therein. Each member shall have one vote. A member who has places of business or employment in more than one constituency must choose the constituency in which he exercises his vote.

(3)3 The number of representatives to be elected in each constituency shall be determined by reference to the number of electors in accordance with the following table:

(4) Depending on the constituency, representatives and substitutes shall either be elected by the votes of all the electors in the constituency taken together, or as to one half shall be elected by electors engaged in private practice and as to the other half by electors engaged in any other capacity.

(5) ...4

(6) A constituency with a non-unitary electorate may adopt the other method of voting if a majority of the electors engaged in private practice and a majority of the electors otherwise engaged so decide. A constituency with a unitary electorate may adopt the other method of voting if a majority of the electors engaged in private practice or a majority of the electors otherwise engaged so decide. The Council shall organise a vote for this purpose if called upon to do so by at least ten electors in either category, or one half of the electors of a category if there are less than twenty.

(7) In each election in a constituency with a non-unitary electorate electors shall state the capacity in which they are engaged in their profession.

(8) The Council shall take the necessary measures to provide for elections and in particular for voting by post.

Article 85

Meetings of the Council

(1) The Council shall meet as often as it considers necessary, and in any event at least once a year. It shall submit a report and accounts to the members of the Institute every year.

(2) Following each election of the Council, the latter shall elect a Board from among its members. The Board shall include a President of the Institute, two Vice-Presidents, a Secretary-General and a Treasurer, who shall be individually elected. The Board may include a deputy for the Secretary-General, a deputy for the Treasurer, and further members. The offices of President and Vice-President may each be held for a maximum of two consecutive terms. However, the two offices may not be held for more than a total of three consecutive terms.

Article 96

Powers of the Council

(1) The Council shall have the management and control of the affairs of the Institute and shall have the right to delegate powers in accordance with the conditions laid down in the regulations made under paragraph 2.

(2) The Council shall have power to make regulations governing the conduct of the business of the Institute and its constituent and any subsidiary bodies.

(3) The Council may, within the terms of the Regulation on Discipline for Professional Representatives, make recommendations on conduct.

Article 107

Powers of the President and Board

(1) The President shall represent the Institute.

(2) The Board shall exercise powers delegated to it by the Council.

Article 11

The Disciplinary Committee

(1) The Council shall set up a Disciplinary Committee.

(2) On each election the Council shall appoint the members of the Committee from among the members of the Institute.

(3) The Disciplinary Committee shall not include any members of the Board.

Article 12

Other Committees

The Council may set up other Committees and shall fix their terms of reference.

Article 13

General meetings

(1) General meetings of the whole membership of the Institute may be called by the Council at any time on 90 days' notice. They shall be called by the Council following a written request of not less than 5% of the members of the Institute and representing at least two constituencies.

(2) The provisional agenda for a general meeting shall be drawn up by the Board and communicated to the members at least 30 days before the opening of the meeting.

(3) The provisional agenda shall include all items which the Board deems it desirable to put before the general meeting. It shall also include all items proposed by at least 20 members of the Institute which are made at least 60 days before the opening of the meeting.

(4) The general meeting shall adopt its agenda at its opening session.

(5) Items proposed by members of the Institute for inclusion in the agenda less than 60 days before the opening of the meeting or during the meeting may be placed on the agenda if the general meeting so decides by a majority of members present. No such item may, unless the general meeting decides otherwise by a two-thirds majority of the members present, be considered until twenty-four hours have elapsed since it was placed on the agenda.

(6) The general meeting shall have power to adopt resolutions.

Article 14

Amendment of this Regulation

Proposals for amendments to this Regulation shall be made by the Council acting by a two-thirds majority of its members. Amendments to this Regulation shall be adopted by the Administrative Council of the European Patent Organisation. The Administrative Council may also consider amendments acting of its own motion and after consulting the Council.

Article 158

Transitional provisions

(1) In each constituency created after the beginning of a term of office of the Council, representatives shall be appointed to the Council by the President of the European Patent Office acting on a proposal by the professional associations considered to be representative by the head of the central industrial property office of the Contracting State concerned. Their term of office shall expire at the same time as that of the Council to which they have been appointed.

(2)9 If a new constituency is created after 1 August in the year preceding that in which the Council is elected, the term of office of representatives appointed to the Council by the President of the EPO shall extend to the end of the following term of office of the Council.

Article 16

Entry into force

This regulation shall enter into force on 21 October 1977.

Done at Munich, 21 October 1977

For the Administrative Council

The Chairman

Georges VIANÈS

XIV.2
Code of Conduct of the Institute of Professional Representatives before the European Patent Office (OJ EPO 2003, 523)

This Code is to govern the conduct and other activities of the members in so far as such activities are related to the Convention on the Grant of European Patents (European Patent Convention) signed in Munich on 5 October 1973, as may be amended from time to time.

In this Code, the following definitions are applicable:

"Institute"

means the Institute of Professional Representatives before the European Patent Office;

"Member"

means a member of this Institute;

"Convention"

means the European Patent Convention;

"Council"

means the Council of the Institute;

"Client"

means any natural person or legal entity who takes advice or asks services of a member;

"Disciplinary Bodies"

means those listed in Article 5 of the Disciplinary Regulation;

"Disciplinary Committee"

means the Committee listed in Article 5 of the Disciplinary Regulation.

1. General

(a) The general requirements for members of the Institute are laid down in the Disciplinary Regulation.

(b) The general principles of professional conduct are laid down in this Code, which reflects the present views of the Council. A member is not released by this Code from his own responsibility to comply with the Rules of Professional Conduct set out in the Disciplinary Regulation in Articles 1, 2 and 3.

(c) The basic task of a member is to serve as a reliable adviser to persons interested in patent matters. He should act as an independent counsellor by serving the interests of his clients in an unbiased manner without regard to his personal feelings or interests.

(d) A member shall take measures to safeguard his client's interests in the event he would be prevented from exercising his profession.

(e) Good fellowship among members is a necessity for preserving the reputation of the profession and should be exercised irrespective of personal feelings.

(f) Each member should know of the Code and cannot plead ignorance of it.

(g) A breach of this Code cannot be justified by referring to instructions from a client.

2. Advertisements

(a) Advertising is generally permitted provided that it is true and objective and conforms with basic principles such as integrity and compliance with professional secrecy.

(b) The following are exceptions to permitted advertising:

(1) the identification of a client without the express authorisation of that client;

(2) the mention of the name of another professional entity unless there is a written co-operation agreement between the member and that entity;

(3) the advertisement, announcement or publishing of offers to buy, sell or negotiate industrial property rights, except upon the instructions of a client.

3. Relations with the public

(a) A member shall uphold the public reputation of the Institute, of its members and of the practice of representation before the European Patent Office.

(b) A member shall not give any indication on office premises, stationery or otherwise which is misleading to the public.

(c) A member shall not give any commission to others for the introduction of business, but this does not extend to the acquisition in part or in whole of another patent agency practice.

(d) A member shall not permit without adequate supervision professional activities related to the European Patent Office under his name or the name of his association by a person who is not a member.

(e) As far as the exercise of his profession is concerned, a member is responsible for the acts of non-member assistants.

4. Relations with clients

(a) A member shall at all times give adequate care and attention and apply the necessary expertise to work entrusted to him by clients. A member shall keep clients informed of the status of their cases.

(b) In principle, a member does not need to serve the interests of a client in matters not connected with professional work entrusted to him by the client.

(c) A member may demand advance payments from a client.

(d) In addition to the requirements of Article 3(2) of the Disciplinary Regulation, a member shall decline an order which is in conflict with his own interests. In all such cases, if the order cannot be postponed without possible damage to the client, a member shall accept and perform the order so far as immediately necessary to avoid such possible damage; thereafter he shall resign from the case.

(e) A member must not acquire a financial interest in any industrial right in such circumstances as to give rise to a conflict between professional duty and interest. He must not charge a fee directly related to the outcome of the services he provides.

(f) Supplementary to Articles 2 and 3 of the Disciplinary Regulation, a member shall not take any action against a particular matter which is being handled or has been handled by the member or another person in his office, unless the client in the matter agrees to this action or unless the member has no cognisance of the matter and is no longer in a position to take cognisance of it. The member is not permitted to make use in the action of information obtained during the time the matter was previously handled, unless the information is public.

(g) A member is automatically released from his secrecy obligation according to Article 2 of the Disciplinary Regulation if the secret information becomes published.

5. Relationship with other members

(a) A member must observe good fellowship towards other members, and this includes courtesy and the fact that a member may not speak of another member in discourteous or offensive terms. Grievances in respect of another member should first be discussed in private with the other member, either directly or through a third member, and then if necessary through the official channels prescribed by the Institute and in the Disciplinary Regulation.

(b) Since a prime interest of the Institute is to maintain a unified profession, no member must exercise or promote discrimination between members, for example on grounds of language or nationality.

(c) A member shall avoid any exchange of views about a specific case, which he knows or suspects is or was being handled by another member, with the client of the case, unless the client declares his wish to have an independent view or to change his representative. The member may inform the other member only if the client agrees.

(d) Where a member is instructed by a client to take over the handling of a case from another member, the member so instructed is free to accept such instruction but then shall ensure that the other member is informed. Such other member shall without delay, loan or transfer all documents necessary for the handling of the case or provide copies at reasonable expense to the new representative.

6. Relationship with the European Patent Office

In all dealings with the European Patent Office and its employees, a member shall act courteously, and shall do everything possible to uphold the good reputation of this Institute and its members.

7. Relationship with the Institute

(a) Members must keep the Institute informed of their address to which correspondence and other information from the Institute are to be sent. Changes of address must be notified to the Secretary-General without delay.

(b) Members must pay, in accordance with arrangements laid down and notified by the Council, the annual subscription required by Article 6 of the Regulation on the establishment of the Institute.

If a member fails to pay the subscription as required by the arrangements, the matter may be referred by the Treasurer to the Disciplinary Committee.

(c) No member may, unless authorised by the President of the Institute, make any written or oral communication on behalf of the Institute.

(d) A member has the right to seek through the Secretary-General an opinion on the permissibility, under this Code, of any act the member proposes to do or sanction. Such opinion shall not be binding on the Disciplinary Bodies.

(e) Except as provided in paragraph 5(b), breaches of the Code should be brought to the notice of the Disciplinary Committee in writing.

Decided by the Council of the Institute on 13.11.1979, Brussels

supplemented on 5.11.1985, Munich

amended on 7.05.1996, Dublin

amended on 3.10.1997, Strasbourg

amended on 8.05.2001, Madrid

XIV.3
Regulation on discipline for professional representatives (OJ EPO 1978, 91, OJ EPO 2008, 14)

THE ADMINISTRATIVE COUNCIL OF THE EUROPEAN PATENT ORGANISATION,

HAVING REGARD to Article 134a, paragraph 1(c), of the European Patent Convention,

WHEREAS it is desirable to adopt provisions governing the disciplinary power to be exercised by the Institute of Professional Representatives and by the European Patent Office on professional representatives,

HAS ADOPTED THIS REGULATION:

Part I
Rules of professional conduct

Article 1

General professional obligations

(1) A professional representative shall exercise his profession conscientiously and in a manner appropriate to its dignity. In particular, he shall not knowingly make any false or misleading statement.

(2) A professional representative shall conduct himself in such a manner as not to prejudice the necessary confidence in his profession.

Article 2

Professional secrecy

A professional representative shall be bound not to disclose information accepted by him in confidence in the exercise of his duties, unless he is released from this obligation.

Article 3

Special provisions on conduct towards clients

(1) A professional representative who is unwilling to accept a call upon his professional services or who withdraws his services shall forthwith inform the client. In the latter case, he shall take appropriate measures to enable the client to avoid detriment.

(2) A professional representative shall refuse or withdraw his services if acceptance or continuation would necessitate his dealing with a particular matter on which he has represented or advised another client with opposing interests and the conflict has not been resolved.

Part II
Disciplinary measures

Article 4

Disciplinary measures

(1) A professional representative who fails to comply with the Rules of professional conduct may incur one of the following penalties:

(a) a warning,

(b) a reprimand,

(c) a fine not exceeding DM 20 000,

(d) deletion from the list of professional representatives for not more than six months,

(e) deletion from the list of professional representatives for an indefinite period.

(2) The penalties provided for in paragraph 1 may also be incurred if a professional representative fails to pay within two months of the due date a subscription in accordance with Article 6 of the Regulation on the Establishment of an Institute of Professional Representatives before the European Patent Office.

Part III
Disciplinary bodies

Article 5

Disciplinary Bodies

Infringements of the Rules of Professional Conduct may be considered by the following bodies:

(a) the Disciplinary Committee of the Institute of Professional Representatives before the European Patent Office,

(b) the Disciplinary Board of the European Patent Office,

(c) the Disciplinary Board of Appeal of the European Patent Office.

Article 6

Powers and responsibilities of the Disciplinary Committee of the Institute

(1) The Disciplinary Committee shall consider any alleged breach of the Rules of Professional Conduct which may be brought to its notice in writing.

(2) After any preparatory inquiries which it may wish to carry out the Disciplinary Committee shall decide either to:

(a) dismiss the matter;

(b) issue a warning or reprimand, or

(c) refer the matter, together with the relevant papers, to the Disciplinary Board of the European Patent Office.

(3) If the Disciplinary Committee does not take a final decision within 9 months of an alleged breach of the Rules of Professional Conduct being brought to its notice, it shall within that time limit submit a report on the state of the proceedings to the Chairman of the Disciplinary Board of the European Patent Office.

(4) On receiving the report or on expiry of the time limit referred to in paragraph 3, the Chairman of the Disciplinary Board shall either:

(a) extend the time limit for consideration of the matter by the Disciplinary Committee, or

(b) transfer the matter to the Disciplinary Board.

(5) The Chairman may grant no more than two extensions, totalling not more than 6 months, under paragraph 4(a).

Article 7

Powers and responsibilities of the Disciplinary Board of the European Patent Office

(1) The Disciplinary Board of the European Patent Office shall consider any alleged breach of the Rules of Professional Conduct which is referred to it by the Disciplinary Committee or transferred to it by its Chairman under Article 6, paragraph 4(b).

(2) After any preparatory inquiries which it may wish to carry out, the Disciplinary Board shall decide either to:

(a) dismiss the matter; or

(b) impose one of the penalties provided for in Article 4.

Article 8

Powers and responsibilities of the Disciplinary Board of Appeal

(1) The Disciplinary Board of Appeal shall hear appeals against final decisions, including dismissals, of the Disciplinary Committee of the Institute and the Disciplinary Board of the European Patent Office.

(2) Appeals may be filed by the professional representative concerned, the President of the Council of the Institute and the President of the European Patent Office.

Article 9

Composition of the Disciplinary Board of the European Patent Office

(1) The Disciplinary Board shall consist of three legally qualified members of the European Patent Office and two professional representatives. The Chairman shall be a legally qualified member. The President of the European Patent Office may if necessary set up more than one Board.

(2) The members of the Disciplinary Board shall be appointed by the President of the European Patent Office for a period of three years. The professional representatives shall be selected from a list proposed to the President by the Board of the Institute. The President shall determine the number of professional representatives required. The number of professional representatives on the list must be at least twice this number. Professional representatives sitting on the Disciplinary Board may not simultaneously sit on another Disciplinary Board or on the Board of the Institute or be employed by the Institute on a full or part-time basis.

(3) Members of the Disciplinary Board may be relieved of their duties during their term of office by the President of the European Patent Office only if serious grounds for such action exist.

Article 10

Composition of the Disciplinary Board of Appeal

(1) The Disciplinary Board of Appeal shall consist of three legally qualified members of the European Patent Office and two professional representatives. The Chairman shall be a legally qualified member.

(2) The members of the Disciplinary Board of Appeal shall be appointed by the Administrative Council for a period of five years. The legally qualified members shall be appointed on a proposal of the President of the European Patent Office. The professional representatives shall be selected from a list proposed to the Administrative Council by the Board of the Institute. The Administrative Council shall determine the number of professional representatives required. The number of professional representatives on the list must be at least twice this number. Members of the Disciplinary Board of Appeal may not simultaneously sit on another disciplinary body or on the Board of the Institute or be employed by the Institute on a full or part-time basis.

(3) The members of the Disciplinary Board of Appeal may be relieved of their duties during their term of office by the Administrative Council only if serious grounds for such action exist.

(4) The professional representatives shall be assigned to individual sittings on the basis of a rota drawn up before the beginning of the year by the Chairman.

Article 11

Independence of members of disciplinary bodies

The members of disciplinary bodies shall be independent in the performance of their duties and in particular shall not be bound by any instructions in reaching their decisions.

Part IV
Procedure

Article 12

Right to be heard

Before taking any decision which might prejudice the interests of the representative concerned a disciplinary body shall give him an opportunity to comment. The President of the Council of the Institute and the President of the European Patent Office shall be given an opportunity to comment before any final decision is taken.

Article 13

Oral Proceedings

(1) Oral proceedings shall take place either at the instance of the disciplinary body if it considers this to be expedient or at the request of the professional representative concerned.

(2)10Rule 115 EPC shall apply mutatis mutandis to oral proceedings provided for in this Article.

(3) The members of a disciplinary body shall be present at any oral proceedings conducted by that body. A person appointed to take the minutes shall also be present.

Article 14

Persons entitled to attend oral proceedings

The President of the European Patent Office, the President of the Council of the Institute, the professional representative and the person appointed under Article 17 shall be entitled to be present throughout oral proceedings. The President of the European Patent Office and the President of the Council of the Institute may each nominate some other person to attend on his behalf.

Article 15

Preparatory inquiries

Prior to taking a decision, the Chairman of the Disciplinary Board or of the Disciplinary Board of Appeal may entrust to one of the legally qualified members the task of conducting preparatory inquiries.

Article 16

Exclusion and objection

Article 24 of the European Patent Convention shall apply mutatis mutandis as regards the exclusion of and objection to members of any of the disciplinary bodies.

Article 17

Legal representation

The professional representative may be assisted at any stage of the proceedings by any legal practitioner qualified in one of the Contracting States or by any other professional representative.

Article 18

Obligation to supply information

Where proceedings against a professional representative are pending before a disciplinary body, the representative shall supply all necessary information and, on request, submit his files to the body, except in so far as this would be in conflict with his obligation to professional secrecy.

Article 19

Access to files

(1) Subject to paragraph 2, the person appointed under Article 17 shall be entitled to inspect all files and evidence and to receive copies of all documents.

(2) The right of access referred to in paragraph 1 may be refused if the Chairman of the disciplinary body is satisfied that this would entail a serious risk of prejudicing the disciplinary body's preparatory inquiries. This limitation shall be set aside in good time for the person appointed under Article 17 to be able to comment before the disciplinary body takes a decision on the merits.

Article 20

Confidentiality

Proceedings before disciplinary bodies shall not be public. Their deliberations shall be confidential.

Article 21

Decisions

(1) A decision of a disciplinary body shall state the reasons on which it is based and shall be given in writing. It shall be notified to the professional representative, the President of the Council of the Institute and the President of the European Patent Office. Complainants shall be informed of the results of the proceedings.

(2)11Rules 125, paragraph 4, 126 and 130 EPC shall apply mutatis mutandis.

Article 22

Appeals

(1) Notice of appeal must be filed in writing with the Disciplinary Board of Appeal within one month after the date of notification of the decision appealed from. Within two months after the date of notification of the decision, a written statement setting out the grounds of appeal must be filed.

(2) If the appeal does not comply with the requirements of paragraph 1, the Disciplinary Board of Appeal shall reject it as inadmissible.

(3) Article 111, paragraph 1, and paragraph 2, first sentence, of the European Patent Convention shall apply mutatis mutandis to appeals under this Article.

Article 23

Revision of decisions

(1) An application for the revision of a final decision may be made only on discovery of a fact which is of such a nature as to be a decisive factor in favour of the professional representative and which, when the decision was taken, was unknown to the disciplinary body which last dealt with the matter and to the professional representative.

(2) The application shall identify the decision to which it relates and shall also contain particulars of the facts and evidence showing that the conditions laid down in paragraph 1 have been fulfilled.

(3) The Disciplinary Board of Appeal shall decide on the admissibility of the application for revision. If it decides that the application is admissible, the application shall be referred for further decision on the merits to the disciplinary body which last dealt with the matter.

Article 24

Time limits

(1)12Rules 131 and 134 EPC shall apply to all time limits specified in this Regulation or fixed by a disciplinary body.

(2) A party to the proceedings who, in spite of all due care required by the circumstances having been taken, was unable to observe a time limit shall, upon application, have his rights re-established. The application must be filed in writing within one month of the removal of the cause of non-compliance with the time limit. Rule 136, paragraph 1, first sentence, last part, and paragraphs 2 and 4 EPC shall apply mutatis mutandis.

Article 25

Supplementary provisions

(1)13Article 113, paragraph 1, Article 114, Article 117, Article 125, Article 131 and Rule 120 EPC shall apply mutatis mutandis to proceedings before the disciplinary bodies.

(2) The disciplinary bodies shall adopt their own additional rules of procedure. These shall require the approval of the Administrative Council on a proposal from the Disciplinary Board of Appeal.

Part V
Miscellaneous

Article 26

Period of limitation

(1) Proceedings in respect of a failure to comply with professional obligations shall be barred after a period of five years. The period of limitation shall begin on the date of such failure.

(2) The period of limitation shall be interrupted by any procedural step taken in respect of such failure by a disciplinary body or one of its members against the professional representative concerned. Each interruption shall cause the period of limitation to begin again.

Part VI
Costs and enforcement

Article 27

Costs of proceedings

(1) Proceedings before disciplinary bodies shall be free of charge; only costs necessarily incurred for the purpose of the proceedings shall be recoverable.

(2) The professional representative, the Institute and the European Patent Office shall bear their own costs. However, if the matter is not dismissed, the final decision may stipulate, having regard to special circumstances, that the costs necessarily incurred by the Institute or the European Patent Office shall be borne, in whole or in part, by the professional representative concerned. If the matter is dismissed, the final decision may stipulate that the costs necessarily incurred by the professional representative shall be borne in whole or in part by the Institute.

(3) The disciplinary body shall fix, in a separate decision, the amount of costs to be refunded. Such decisions shall not be subject to appeal.

Article 28

Enforcement

(1) Failure on the part of a professional representative to pay a fine imposed upon him by a final decision or to refund any costs due from him shall be deemed to be a breach of the Rules of Professional Conduct.

(2) A final decision of a disciplinary body to delete a professional representative from the list of professional representatives shall take immediate effect as soon as it ceases to be subject to appeal. It shall be notified to the Legal Division of the European Patent Office.

Part VII
Final provisions

Article 29

Amendment of this Regulation

Proposals for amendments to this Regulation shall be made by the Council of the Institute acting by a two-thirds majority of its members. Amendments to this Regulation shall be adopted by the Administrative Council of the European Patent Organisation. The Administrative Council may also consider amendments acting of its own motion and after consulting the Council.

Article 30

Entry into force

This regulation shall enter into force on 21 October 1977.

Done at Munich, 21 October 1977

For the Administrative Council

The Chairman

Georges VIANÈS

XIV.4
Additional Rules of Procedure of the Disciplinary Committee of the Institute of Professional Representatives before the European Patent Office (OJ EPO 1980, 177 as amended in OJ EPO 2007, 552)

The Disciplinary Committee of the Institute of Professional Representatives before the European Patent Office provided for in Article 5(a) 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 the following Additional Rules of Procedure:

Article 1

The Chairman and the Secretary of the Committee

(1) Following the setting up of the Disciplinary Committee under Article 11 of the Regulation on the Establishment of an Institute of Professional Representatives before the European Patent Office, the members of the Committee shall elect from among themselves a Chairman, a deputy Chairman, a Secretary and a deputy Secretary. They are elected by a simple majority of votes of those members who have actually voted. In the event of a tie, the decision shall be taken by lot.

(2) In case the Chairman or the Secretary is prevented from attending to his duties he shall ex officio be replaced by his deputy. Should the Chairman and his deputy or the Secretary and his deputy be unable to attend a meeting, the members present shall elect a chairman or a secretary who will act as such at that meeting.

Article 2

Chambers

(1) The Committee, as constituted for the examination of any alleged breach of the Rules of Professional Conduct which is brought to the Committee's notice in writing, shall consist of three members, nominated by the Chairman of the Committee, hereinafter called a "Chamber".

(2) The Chairman of the Committee shall nominate one of the members of the Chamber as Chairman of that Chamber and at least one other member of the Committee as alternate member of that Chamber.

(3) The Chairman of the Committee may, if necessary, subsequently nominate one or more further members of the Committee as alternate members of that Chamber.

Article 3

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 Chamber concerned of his unavailability without delay.

(3) The Chairman of the Committee may designate another member of the Committee to replace the Chairman of the Chamber concerned.

Article 4

Exclusion and Objection

(1) If the Chairman has knowledge of a possible reason for exclusion or objection which does not originate from the member himself or from the professional representative concerned, then the Chamber 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 an alternate nominated by the Chairman of the Chamber.

(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 5

The Registrar

(1) The Chairman of the Disciplinary Committee shall, with the approval of the President of the Council of the Institute of Professional Representatives before the European Patent Office, appoint a member or an employee of the Institute of Professional Representatives before the European Patent Office, hereinafter called the "Institute", to act as Registrar to the Disciplinary Committee. A further member or employee of the Institute shall be appointed by the Chairman to act as deputy Registrar where the Registrar is unable to act.

(2) The Registrar shall, in particular, monitor any time limits relating to matters before the Disciplinary Committee, including the time limit prescribed in Article 6, paragraph 3, of the Discipline Regulation.

Article 6

Rapporteurs

(1) The Chairman of the Chamber shall, for each matter, designate a member of the Chamber, 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 Chamber designated to consider the matter, who shall either approve them or make suggestions for amendment. If no agreement can be reached by this means, the Chamber shall meet to decide jointly on the final text.

(4) Communications shall be signed by the rapporteur on behalf of the Chamber.

(5) The rapporteur shall make the preparations for meetings and oral proceedings. He will set out the issues that need to be determined and, if necessary, send a communication to the professional representative concerned 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, unless the Chairman of the Chamber otherwise directs, by the Secretariat of the Institute into the language of the proceedings and the translations shall be checked by the rapporteur or by another member of the Chamber.

Article 7

Complaints

(1) On request, the Registrar shall explain how a complaint should be formulated and filed.

(2) A complaint shall be in writing addressed to the Disciplinary Committee. It shall be signed by the complainant or any legal advisor or professional representative acting on his behalf and shall include the name and address of the complainant.

(3) A complaint shall not be considered to have been brought to the notice of the Disciplinary Committee until it has been received by the Registrar in one of the official languages of the European Patent Office.

(4) The Registrar shall:

a) register each complaint together with the date of receipt;

b) immediately send copies of the complaint to the Chairman and the Secretary of the Disciplinary Committee, to the President of the Council of the Institute and the President of the European Patent Office;

c) notify the Chairman of the Disciplinary Board of the European Patent Office of the receipt of a complaint and of the date of receipt.

(5) The Chairman of the Disciplinary Committee shall without delay nominate a Chamber and assign the complaint to that Chamber.

Article 8

Procedure following receipt of a Complaint

(1) Unless a complaint is summarily dismissed on the ground mentioned in Article 18 hereof, the Chamber concerned shall, without delay, send a copy of the complaint, together with a reference to where these Rules of Procedure are published, to the professional representative concerned, who shall be given a period of two months after receipt by him of the copy of the complaint to present a written defence, which shall be addressed to the rapporteur.

(2) During this period, the professional representative concerned may request oral proceedings. If he does so, he shall be invited to attend a hearing and copies of the invitation shall be sent to the President of the Council of the Institute and to the President of the European Patent Office.

(3) If the professional representative concerned does not reply in writing or attend the hearing, then the Chamber may take a decision on the basis of the available material.

Article 9

Minutes

(1) Minutes of oral proceedings and of the taking of evidence shall be drawn up by the rapporteur or the Registrar or such employee of the Institute as the Chairman of the Chamber may nominate. Rule 124 EPC shall apply mutatis mutandis to the taking of such minutes.

(2) The Chairman of the Chamber 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 10

Language of the Proceedings

(1) The language of the proceedings before a Chamber shall be one of the official languages of the European Patent Office, decided upon by the Chamber. The Chairman of a Chamber may decide to accept documents and to hear witnesses in another language, provided that a translation into one of the languages of the European Patent Office is supplied if one of the members of the Chamber so requires.

(2) 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.

(3) 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 Chamber shall make the necessary arrangements.

Article 11

Change in the composition of the Chamber

(1) If the composition of the Chamber is changed after oral proceedings, the professional representative concerned shall be informed that, at his request, fresh oral proceedings shall be held before the Chamber 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 Chamber 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 Chamber has already reached a final decision, a member of the Chamber is unable to act, he shall not be replaced by an alternate. If the Chairman of the Chamber is unable to act, the member of the Chamber having the longer service on the Disciplinary Committee 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 12

Consolidation of Complaints

(1) If several complaints are made relating to the same or different acts of the same professional representative, they may be considered in the same proceedings.

(2) If several complaints relating to different professional representatives are designated to be considered by the Chamber in a common composition, the Chamber may deal with these complaints in consolidated proceedings with the consent of the professional representatives concerned. Such consent shall not be required in cases dealing only with failure to pay subscriptions in accordance with Article 6, paragraph 1, of the Regulation on the Establishment of an Institute of Professional Representatives before the European Patent Office, hereinafter called the "Establishment Regulation".

Article 13

Oral proceedings

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

(2) The Chamber may send with the invitation 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 Chamber 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 Professional Representative concerned

If, before a decision is taken, the Chamber deems it expedient to communicate with the professional representative 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 Chamber is in any way bound by it.

Article 15

Deliberations preceding Decisions

If the members of the Chamber are not all of the same opinion, the Chamber shall meet to deliberate regarding the decision to be taken. No other person except other members of the Disciplinary Committee authorised by the Chairman of the Chamber to attend as observers, the Registrar and any interpreters attending in accordance with Article 10 hereof may be present during deliberations of the Chamber.

Article 16

Order of Voting

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

(2) 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

(1) Unless the complaint is dismissed, the decision shall state which Rule of Professional Conduct has been violated and which recommendation, if any, made in accordance with Article 4(c) of the Establishment Regulation, has not been observed. Rule 111, paragraph 2, shall apply mutatis mutandis.

(2) A decision shall be signed by the Chairman of the Chamber.

Article 18

Procedure following summary dismissal of a Complaint

If a complaint is summarily dismissed by a Chamber on the ground that it clearly discloses no facts upon which an allegation of breach of the Rules of Professional Conduct could be made against the professional representative concerned so that it is, therefore, not necessary to call upon him to present a defence, then:

a) the complainant shall be informed accordingly by letter;

b) the persons mentioned in Article 7, paragraph 4 hereof shall be sent copies of the said letter and of the decision;

c) the professional representative concerned shall be sent a copy of the said letter, a copy of the complaint and a copy of the decision.

Article 19

Procedure following a Decision

(1) It is a matter for the discretion of the Chamber whether the complainant shall be informed of the result of the proceedings by being sent a copy of the decision or in some other manner.

(2) Following a decision to refer the matter in accordance with Article 6, paragraph 2(c), of the Discipline Regulation, the Chamber concerned shall transmit to the Disciplinary Board:

a) the name and address of the professional representative concerned;

b) the complaint;

c) any defence filed;

d) any comments of members of the Chamber and of the Presidents of the Council of the Institute and the European Patent Office respectively;

e) an indication of the language of the proceedings (if any);

f) the decision taken by the Chamber;

g) any other documents which the Chamber considers relevant.

Article 20

Publication of Decisions

It shall be within the discretionary power of the Chamber to authorise the President of the Council of the Institute wholly or partly to communicate decisions to the members of the Institute or to publish decisions without, however, revealing the identity of the professional representative concerned and the complainant, unless they respectively consent to be named.

Article 21

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.

Done at Munich, 9 April 1980

For the Disciplinary Committee of the Institute of Professional Representatives before the European Patent Office

The Chairman

R. SIEDERS

XIV.5
Additional Rules of Procedure of the Disciplinary Board of the European Patent Office (OJ EPO 1980, 183 as amended in OJ EPO 2007, 552)

The Disciplinary Board of the European Patent Office provided for in Article 5(b) 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, the following Additional Rules of Procedure:

Article 1

Business Distribution Scheme

(1) The Chairman of the Disciplinary Board shall, at the beginning of each working year, draw up a scheme for handling all matters to be dealt with during the year, designating the members responsible for the examination of all matters 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.

(2) Where, in accordance with Article 9, paragraph 1, of the Discipline Regulation, the President of the European Patent Office has set up more than one Board, the Chairmen of the Boards shall, at the beginning of each working year, jointly designate the Board responsible for each matter to be dealt with during the 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 his unavailability without delay.

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

Article 3

Exclusion and Objection

(1) If the Disciplinary Board has knowledge of a possible reason for exclusion or objection which does not originate from the member himself or from the professional representative concerned, then the Disciplinary Board shall decide as to the action to be taken without the participation of the member concerned. For the purpose at 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 4

The Registrar

(1) The Chairman of the Disciplinary Board shall appoint an employee of the European Patent Office to act as Registrar to the Disciplinary Board. A further employee of the European Patent Office shall be appointed by the Chairman to act as deputy Registrar where the Registrar is unable to act.

(2) The Registrar shall, in particular, monitor any time limits relating to matters before the Disciplinary Board, including the time limit prescribed in Article 6, paragraph 3, of the Discipline Regulation.

Article 5

Rapporteurs

(1) The Chairman of the Disciplinary Board shall for each matter 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, 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.

(5) The rapporteur shall make the preparations for meetings and oral proceedings. He will set out the issues that need to be determined and, if necessary, send a communication to the professional representative concerned 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.

Article 6

Transmission of Documents

To effect a transfer under Article 6, paragraph 4(b), of the Discipline Regulation, the Chairman of the Disciplinary Board shall:

a) notify the Chairman of the Disciplinary Committee and the professional representative concerned of the transfer;

b) set the Chairman of the Disciplinary Committee a time limit for the transmission of:

i) the name and address of the professional representative concerned;

ii) the complaint;

iii) any Defence filed;

iv) any comments of members of the Chamber and of the Presidents of the Council of the Institute of Professional Representatives and the European Patent Office respectively;

v) an indication of the language of the proceedings (if any);

vi) the decision taken by the Chamber;

vii) any other documents which the Chamber considers relevant.

Article 7

Minutes

(1) 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 may nominate. Rule 124 EPC shall apply mutatis mutandis to the taking of such minutes.

(2) The Chairman of the Disciplinary Board 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 8

Language of the Proceedings

(1) The language of the proceedings shall be the official language of the European Patent Office in which the proceedings were conducted before the Disciplinary Committee of the Institute of Professional Representatives but Rule 4 EPC shall apply mutatis mutandis to proceedings before the Disciplinary Board.

(2) Where no proceedings have been conducted before the Disciplinary Committee or in circumstances where no language of the proceedings has been designated, the Disciplinary Board shall decide on the language of the proceedings.

(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.

(4) If required, the Chairman of the Disciplinary Board shall make arrangements for interpretation during oral proceedings, the taking of evidence and the deliberations of the Disciplinary Board.

Article 9

Change in the composition of the Board

(1) If the composition of the Disciplinary Board is changed after oral proceedings, the professional representative concerned shall be informed that, at his request, 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) 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 10

Consolidation of Proceedings

(1) If several matters relating to the same professional representative are pending before the Disciplinary Board, these matters may be considered in the same proceedings.

(2) If several complaints relating to different professional representatives are designated to be considered by the Disciplinary Board in a common composition, the Disciplinary Board may deal with these complaints in consolidated proceedings with the consent of the professional representatives concerned. Such consent shall not be required in cases dealing only with failure to pay subscriptions in accordance with Article 6, paragraph 1, of the Regulation on the Establishment of an Institute of Professional Representatives before the European Patent Office, hereinafter called the "Establishment Regulation".

Article 11

Oral Proceedings

(1) If oral proceedings are to take place, the Disciplinary Board 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 12

Communications to the Professional Representative concerned

If, before a decision is taken, the Disciplinary Board deems it expedient to communicate with the professional representative 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 13

Deliberations preceding Decisions

If the members of the Disciplinary Board 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 8 hereof may be present during deliberations of the Board.

Article 14

Order of Voting

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

(2) 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 15

Decisions

(1) Unless the matter is dismissed, the decision shall state which Rule of Professional Conduct has been violated and which, if any, recommendation, made in accordance with Article 4(c) of the Establishment Regulation, has not been observed. Rules 102 and 111, paragraph 2, EPC shall apply mutatis mutandis.

(2) A decision shall be signed by the Chairman of the Disciplinary Board and by the Registrar.

Article 16

Publication of Decisions

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

Article 17

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.

Done at Munich, 9 April 1980.

For the Disciplinary Board of the European Patent Office

The Chairman

J.C.A. STAEHELIN