Art47eTPEPC1973

Métadonnées

• Nom affiché : Art47eTPEPC1973
• Numéro d'article : 47
• Dossier / langue : English
• Tag langue : #English
• PDF original : Articles/English/Articles 026-050/Article 047 (English version)/Art47eTPEPC1973.pdf

Comment:

The collection represents purely an internal research tool for the purpose of Directorate Patent Law of the European Patent Office. No guarantee can be given for its completeness or correctness. The documents produced before 1969 cannot be provided in English as this was not an official language in the period before that date. These documents therefore are provided in French and German.

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Art. 47 MPO Vorläufige Haushaltsführung

Entwurf, der dem nebenstehenden Dokument zugrunde liegt	Art. Nr. im Entwurf/ Dokument	Dokument, in dem der Art. behandelt wird	Fundstelle im Dokument
Vorschl.d.Vors.	199	IV/3076/62	S. 67
VE Mai 1962	48	6551/IV/62	S. 17
VE 1962	48	BR/GT IV/32/70	Rdn. 19
BR/GT IV/31/70	48	BR/GT IV/41/70	Rdn. 30-32
VE 1971 (Ue)	52	- BR/178/72	Rdn. 17

Dokumente der MDK

E 1972	45	M/54/I/II/III	S. 5
"	45	M/132/III/R 1	S. 6
"	45	M/146/R 2	Art. 47
"	45	M/PR/III	S. 125/173157-9
"	45	M/PR/G	S. 245195

REPORT

by Mr. Paul Braendli, Lic. iur. Vice-Director of the Federal Intellectual Property Office (Switzerland) on the results of Main Committee I's proceedings

REPORT

by Mr. R. Bowen Assistant Comptroller, British Patent Office on the results of Main Committee II's proceedings

REPORT

by Mr. Fressonnet Deputy Director of the Institut National de la Propriété Industrielle (France) on the results of Main Committee III's proceedings

REPORT

by Mr. A. Fernandez Mazarambroz Head of the Spanish Patent Office on the results of the Credentials Committee's proceedings with regard to full powers for signing the Convention

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event be made without the authorisation of the Administrative Council. 72. The French delegation's patent expert admitted that the statement of his colleague responsible for financial matters had led him to reconsider his position. Paragraphs 1 and 2 had to be interpreted as meaning that one-twelfth of the budget appropriations per heading or other division for the preceding accounting period was the limit, in excess of which the Administrative Council could on no account authorise appropriations. This was what was meant by the words "subject to the observance of the other provisions laid down in paragraph 1". The Administrative Council could only authorise expenditure in excess of one-twelfth of the appropriations provided for in the draft budget. This interpretation was not inapt as Article 45 applied not only to the build-up period of the European Patent Office but permanently, and would therefore cover cases in which the estimates of appropriations for a particular heading in the draft budget were smaller than in the preceding budget. Furthermore, the Working Party on Finance had probably been less concerned with the possibility of large purchases than with current expenditure which might be curred at the beginning of an accounting period. 73. The Chairman noted that this interpretation of paragraph 2 was precisely the opposite of the one on which the Swiss delegation had based its proposed amendment. At the present stage of the discussions there seemed to be no other solution than to take a vote on the Swiss proposal for clarifying paragraph 2. If the proposal was rejected, paragraph 2 would remain in its present form which evidently allowed of several interpretations. Each delegation would then be at liberty to submit a new proposal for clarifying the present text. 74. In the subsequent vote 2 delegations were in favour of and 5 delegations against the Swiss proposal; 13 delegations abstained. 75. The Swiss delegation proposed that in paragraph 3"shall, on a provisional basis", be substituted for "shall continue to". It considered that the payments referred to in paragraph 3 were just as provisional as those in paragraph 4, i. e. subject to the final calculation of payments (M/54/I/II/III, page 5). 76. The Main Committee referred this proposal, which it considered was of a purely drafting nature, to the Drafting Committee.

Article 46 (48) - Budget implementation

77. The Italian delegation proposed specifying in paragraph 2 that the President of the European Patent Office could only transfer appropriations from one heading to another similar heading. 78. The Netherlands delegation felt that it would be difficult to determine which headings were similar. 79. The United Kingdom delegation said that the intention of this provision was to give the President of the European Patent Office a certain degree of discretion in the use of appropriations. It would be for the Financial Regulations, to be adopted by the Administrative Council, to lay down the details governing the transfer of appropriations. 80. The Italian delegation thought that it would be sufficient if the Financial Regulations were clarified in the way it had proposed.

Article 47 (49) - Auditing of accounts

81. The Main Committee referred a drafting proposal from the Swiss delegation concerning paragraph 4 (M/54/I/II/III, page 6) to the Drafting Committee.

Article 48 (50) - Financial Regulations

82. The delegation of the Federal Republic of Germany thought that there was no need to state in sub-paragraph (I) that the Administrative Council had powers to set up a Budget and Finance Committee and therefore proposed that the sub-paragraph be amended accordingly (M/11, point 5). It explained that it assumed that the Administrative Council would have to set up such a Committee and that its composition and duties would be laid down in the Financial Regulations. 83. The Main Committee referred this proposal to the Drafting Committee and requested the latter to examine whether the text proposed by the delegation of the Federal Republic of Germany was preferable to the present text. 84. At the request of the delegation of the Federal Republic of Germany, the Chairman noted that the Main Committee thought that the present list in Article 48 (50) did not preclude financial estimates of an indicative nature covering several years being provided for in the Financial Regulations.

Article 146 - Cover for expenditure for carrying out special tasks

85. The Main Committee referred two drafting proposals concerning paragraph 1, submitted by the United Kingdom delegation (M/40, point 23) and the delegation of the Federal Republic of Germany M/47/I/II/III, point 19) respectively, to the Drafting Committee.

B. Recommendation regarding the status and remuneration of the employees referred to in article 159, paragraph 2, of the Convention (M/7)

86. The delegation of the Federal Republic of Germany proposed that the remuneration and allowances paid to the persons referred to in the second and third paragraphs of point 2 should not be based on the remuneration of an employee in Grade A 1, step 6 (M/11, point 14).

It put forward the following arguments in support of its proposal: in drafting this provision, the Working Party on Personnel Matters of the Luxembourg Inter-Governmental Conference had held the view that persons employed during a transitional period on a daily basis and in a subsidiary capacity as members of the Boards of Appeal or of the Enlarged Board of Appeal of the European Patent Office should receive higher pay than persons subsequently employed full-time and permanently as members of the Boards of Appeal. Thus Grade A 1, step 6, had been chosen as the basis for calculating the remuneration and allowances of such persons. The German delegation agreed with the principle that these persons should be comparatively well paid; however the Recommendation as it now stood would be prejudicial to their subsequent grading. It therefore felt that the basis for calculating the remuneration and allowances of part-time members of the Boards of Appeal and of the Enlarged Board of Appeal should be the grade in which they would subsequently be recruited full-time, i. e. A 3, and that they should receive an additional payment to compensate for the fact that they would only be employed at the European Patent Office on a daily basis. 87. The United Kingdom delegation felt that the considerations put forward by the Federal Republic of Germany might be valid for some countries but not for all. Comparing it with the situation in the United Kingdom, it was better to leave the Recommendation in its present form. 88. The Chairman wondered whether calculating the remuneration and allowances of the members of the Boards of Appeal on a higher basis or alternatively on a lower basis with

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preceding accounting period, provided that they were not in excess of one-twelfth of those provided for in the draft budget. Notwithstanding this rule of paragraph 1, the Administrative Council could authorise an exception to be made pursuant to paragraph 2 permitting expenditure in excess of one-twelfth of the budget appropriations for the preceding accounting period; however, even in this case, expenditure could not be in excess of one-twelfth of the appropriations provided for in the draft budget. In his opinion the aim of the Swiss proposal was to clarify this point and he did not see any reason not to do so. 61. The delegation of the Federal Republic of Germany remarked that although Aricle 45, paragraph 2, of the draft was based on the EEC Treaty, even the EEC Treaty - at least in the German version - was not completely clear on this point. Furthermore, the relevant provision of the EEC Treaty was also now interpreted as meaning what the Swiss delegation and the Chairman thought it meant. It had no hesitaion about clarifying paragraph 2 to this effect; this point would then no longer need to be clarified in the Financial Regulations. 62. The French delegation's financial expert said that paragraphs 1 and 2 were, in his view, to be understood as follows. In the new accounting period one-twelfth of the budget appropriations for the preceding accounting period could be made available, provided that the amount did not exceed one-twelfth of the appropriations provided for in the draft budget. This restriction was contained in paragraph 1. Since paragraph 2 referred to the "other provisions laid down in paragraph 1", the restriction remained valid even if the Administrative Council authorised greater expenditure. 63. The Chairman pointed out that the provision in paragraph 1 could have far-reaching consequences, in particular during the build-up period of the European Patent Office, unless exceptions were provided for in paragraph 2. He also repeated his interpretation of paragraphs 1 and 2. 64. The French delegation's patent expert wondered whether paragraphs 1 and 2 should not be interpreted differently as follows. Under paragraph 1, one-twelfth of the appropriations for the preceding accounting period could be made available to the President of the European Patent Office on a monthly basis, per heading or other division of the budget without an authorisation of the Administrative Council, provided that such appropriations did not exceed one-twelfth of those provided for in the draft budget. If paragraph 2 was to be meaningful, it would have to state more than what was already stated in paragraph 1. This additional factor could be that the Administrative Council could authorise expenditure in excess of one-twelfth of the appropriations provided for in the draft budget. Such an interpretation was quite reasonable; at the beginning of the accounting period substantial expenditure could be incurred in excess of one-twelfth of the appropriations provided for in the draft budget without, however, exceeding the overall estimate of appropriations under the heading concerned. If, however, this interpretation of paragraphs 1 and 2 were correct, then the Swiss proposal for paragraph 2 was wrong as it did not contribute anything new in relation to paragraph 1, apart from the requirement concerning the authorisation of the Administrative Council. 65. The Chairman thought that paragraph 2 did not necessarily lead to this interpretation since that paragraph nevertheless required that the other provisions laid down in paragraph 1 be observed. 66. The United Kingdom delegation said that, as far as it remembered, the Working Party on Finance of the Luxembourg Inter-Governmental Conference had wished to ensure in paragraph 2 that where the Administrative Council had not agreed on the total budget, it could authorise the President of the European Patent Office to effect expenditure in excess of one-twelfth of the appropriations under the preceding budget and also in excess of one-twelfth of the appropriations provided for in the draft budget. Such a situation could occur, for example, if large purchases had to be made at the beginning of the year. It thought that the "other provisions laid down in paragraph 1" which were to be observed pursuant to paragraph 2 referred to the provisions of the Financial Regulations mentioned in paragraph 1. 67. The Chairman considered that a provision under which the Administrative Council could authorise the President of the European Patent Office to effect expenditure in excess of one-twelfth of the appropriations under the preceding budget and also in excess of one-twelfth of the appropriations provided for in the draft budget would deviate considerably from the corresponding provision in the EEC Treaty. 68. The French delegation's financial expert thought the following interpretation of paragraphs 1 and 2 was correct, at least according to the French text: paragraph 1 set an absolute limit on appropriations made available on a monthly basis under a budget which had not been finally adopted; this limit amounted to one-twelfth, per heading or other division of the budget, of the budget appropriations for the preceding accounting period. Even if, pursuant to paragraph 2, the Administrative Council authorised expenditure in excess of one-twelfth of the appropriations provided for in the draft budget, this absolute limit must not be exceeded. This interpretation also corresponded, in his opinion, to the customray practice in France. 69. The delegation of the Federal Republic of Germany stated that the latter interpretation given by the French delegation as far as the French text was concerned also seemed to be completely acceptable. Ultimately, it could also follw this interpretation for the German text, which would however in that case have to be drafted more precisely. It nevertheless wished to point out a danger which it felt would be particularly pronounced if a wide interpretation were given to paragraph 2. The budget would have to be adopted by a qualified majority or even by a special qualified majority. If the Administrative Council were authorised to decide by a simple majority on expenditure in excess of one-twelfth of a particular sum, the provisions requiring a qualified majority could be undermined.

The adviser to the delegation of the Federal Republic of Germany added that, as far as he remembered, the Working Party on Finance of the Luxembourg Inter-Governmental Conference had wished in paragraph 2 to give the Administrative Council the possibility of authorising large acquisitions, e.g. the purchase of a computer, at the beginning of an accounting period in respect of which the budget had not been adopted. This would of course mean that the Administrative Council could authorise expenditure in excess both of one-twelfth of the appropriations under the preceding budget and of one-twelfth of the appropriations provided for in the draft budget. 70. In the opinion of the Swiss delegation the discussion of paragraph 2 had shown that the provision had to be clarified. Following the statements of those speakers who, with particular reference to the discussions of the Working Party on Finance, wished a wide interpretation to be given to this provision, it realised that its proposal was too narrow. It could endorse the wider interpretation of the provision but would welcome a clarification of the text to this effect. 71. The Luxembourg delegation thought that it was doubtful whether, where smaller appropriations were provided for in respect of a particular item in the draft budget than in the preceding budget, appropriations should be authorised in excess on one-twelfth of those for the preceding period. A large acquisition such as, for example, a computer, should not in any

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subscribed to the Netherlands proposal subject to the rider proposed by the French delegation (see M/47/I/II/III, point 12). 39. The Netherlands delegation agreed that its proposal be supplemented as suggested by the French and German delegations. 40. The Belgian delegation drew attention to the fact that if a parent company filed a priority application in a Contracting State and a subsidiary subsequently filed an identical application in another Contracting State, the application would appear in the statistics twice. 41. The Yugoslav delegation was also in favour of the combined French-Netherlands proposal. 42. The Main Committee adopted the Netherlands proposal with the addition suggested by the French delegation; in this connection it was agreed that the normal Convention terminology be used to refer to natural or legal persons resident in a Contracting State. 43. With regard to paragraph X(b), the Netherlands delegation asked why the second highest number of patent applications filed by natural or legal persons having their residence or principal place of business in a Contracting State in the other Contracting States had been taken as a basis for calculation. 44. The French delegation pointed out that the three States theory had served as a basis for estimating the future use to be made of the European Patent Organisation by the nationals of the Contracting States to the Convention. According to this theory, applicants from Contracting States would seek a European patent if they applied for a national patent in at least two other Contracting States in addition to their State of origin when filing national patents. The second hightest number of applications from a given Contracting State X was statistically quantifiable; it could be calculated by taking as a basis the number of applications filed in the last year but one prior to that of entry into force of the Convention by persons from Contracting State X, not just in that State nor in Contracting States X and Y, but in Contracting States X, Y and Z; the aggregate of all the applications filed in Contracting State Z in the above combination represented the "second highest number" for Contracting State X. 45. At the request of the Netherlands delegation, the Main Committee noted with reference to the last sub-paragraph of paragraph 2 that the contributions from States in which the number of patent applications filed in the last year but one prior to that of entry into force of the Convention exceeded 25,000 should be taken as a whole and a new scale drawn up. 46. The Swiss delegation proposed deleting paragraph 4 (M/54/I/II/III, page 4). It thought that these provisions could have no practical significance since contributions would be based on the figures for 1974 or 1975 and in these years there would still be no applications under the PCT which, at any rate as far as the States represented at this Conference were concerned, would not enter into force before the European Patent Convention. 47. The delegation of the Federal Republic of Germany said it could agree with the Swiss proposal and the reasons for it. However, since in theory it was not out of the question that the PCT would enter into force earlier, the minutes of the meeting should record that the Main Committee considered that, in this event, for the purpose of paragraph 3, international applications in respect of which a Contracting State was designated should be regarded as applications filed in that State. 48. The Netherlands delegation felt that its drafting proposal for paragraph 4 (M/52/I/II/III, point 5) offered an equally simple solution. 49. The French delegation supported the proposal to delete paragraph 4 and to record in the minutes of the meeting that the Main Committee considered that, in the event of the early entry into force of the PCT, international applications should be regarded as national applications for the purpose of paragraph 3 . 50. The Netherlands delegation said that whilst it did not wish to oppose the deletion of paragraph 4 and a note on this point being included in the minutes of the meeting, it was not quite certain whether the Main Committee's hypothetical interpretation of paragraph 3 would necessarily be binding on all the Contracting States: 51. The WIPO delegation thought that it was useful to cover PCT applications even if it was not likely that the PCT would enter into force, in respect of the Contracting States of the Convention, before the entry into force of the Convention; it was not unusual in legal texts to lay down provisions for cases which were not likely to arise. 52. The Main Committee decided to delete paragraph 4.

It considered that, in the unlikely event of the PCT entering into force before the Convention in respect of the Contracting States to the latter, international applications in respect of which a Contracting State was designated should for the purpose of paragraph 3, be regarded as applications filed in that State. The Main Committee noted in this connection that, if it should become necessary to interpret paragraph 3, the interpretation should be in accordance with the deleted paragraph 4 in the text of M / 1 and should not be based on the Netherlands delegation's proposal (M/52/I/II/III, Point 5). 53. The Main Committee referred a drafting proposal from the United Kingdom delegation concerning paragraph 7 (M/40, point 12) to the Drafting Committee.

Article 41 (43) - Authorisation for expenditure

54. The delegation of the Federal Republic of Germany proposed that the German text of paragraph 2 should make it clear. that appropriations relating to staff costs could not be carried forward to a subsequent accounting period (M/11, point 20 and M/47/I/II/III, point 40). 55. The Main Committee referred this proposal to the Drafting Committee.

Article 45 (47) - Provisional budget

56. The Swiss delegation proposed that paragraph 2 should specify that the Administrative Council could, in respect of specific headings or other divisions of the budget, authorise expenditure in excess on one-twelfth of the budget appropriations for the preceding accounting period, but not in excess of one-twelfth of the appropriations provided for in the draft budget (M/54/I/II/III, page 5). 57. The Netherlands delegation supported this proposal which it considered to be of a purely drafting nature. 58. The United Kingdom delegation pointed out that the Working Party on Finance of the Luxembourg Inter-Governmental Conference had considered that the text of paragraph 2, which was modelled on Article 204, paragraph 2, of the EEC Treaty, should not be amended despite a certain degree of unclarity. 59. In the Luxembourg delegation's opinion the "one-twelfth" in paragraph 2 should be taken to mean one-twelfth of the budget appropriations for the preceding accounting period. 60. The Chairman said that he interpreted paragraphs 1 and 2 of Article 45 in the following way. If, at the beginning of an accounting period, the budget had not been adopted, expenditures could be effected on a monthly basis per heading up to one-twelfth of the budget appropriations for the

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Introduction ..... 7 Report on the meeting of the Plenary ..... 9 Opening Meeting (M/PR/K/1) Minutes of the proceedings of the Credentials Committee ..... 25 (M/PR/V) Minutes of the proceedings of Main Committee I ..... 27 (M/PR/I) Minutes of the proceedings of Main Committee II ..... 109 M/PR/II) Minutes of the proceedings of Main Committee III ..... 155 (M/PR/III) Minutes of the proceedings of the Committee of the Whole ..... 163 (M/PR/G) Report on the meeting of the Plenary ..... 199 Final Meeting (M/PR/K/2) List of participants ..... 211

MUNICH DIPLOMATIC CONFERENCE

FOR THE SETTING

UP OF A EUROPEAN SYSTEM

FOR THE GRANT OF PATENTS (Munich, 10 September to 5 October, 1973)

Article 47

Provisional budget (1) If, at the beginning of the accounting period, the budget has not been adopted by the Administrative Council, expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Financial Regulations, up to one-twelfth of the budget appropriations for the preceding accounting period, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in the draft budget. (2) The Administrative Council may, subject to the observance of the other provisions laid down in paragraph 1, authorise expenditure in excess of one-twelfth of the appropriations. (3) The payments referred to in Article 37, suc-paragraph (b). shall continue to be made, on a provisional basis, under the conditions determined under Article 39 for the year preceding that to which the draft budget relates. (4) The Contracting States shall pay each month, on a provisional basis and in accordance with the scale referred to in Article 40, paragraphs 3 and 4, any special financial contributions necessary to ensure implementation of paragraphs 1 and 2 above. Article 39, paragraph 4, shall apply mutatis mutandis to these contributions.

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MUNICH DIPLOMATIC CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

- 1973 -

Munich, 30 September 1973 M/ 146/R 2 Original: English/French/German

CONFERENCE DOCUMENT

Drawn up by : General Drafting Committee Subject : Convention : Articles 27 to 54

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Article 45 Provisional budget (1) Concerns the German text only. (2) Unchanged from 1972 published text. (3) The payments referred to in Article 35, sub-paragraph (b), shall continue to be made, on a provisional basis, under the conditions determined under Article 37 for the year preceding that to which the draft budget relates. (4) Unchanged from 1972 published text.

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MUNICH DIPLOMATIC CONFERENCE

FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

- 1973 -

Munich, 25 September 1973

M/132/III/R 1

Original: English/French/German

TEXTS DRAWN UP BY

THE BEAUTY OF COMMITTEE OF MAIN COMMITTEE III

AT THE MEETING ON 24 SEPTEMBER 1973

Articles of the Convention: Articles 35 36 41 44 45 47 48 146 169

Proposals: 1. The following text should be substituted for paragraph 2:

"(2) The Administrative Council may, in respect of specific headings or other divisions of the budget, authorise expenditure in excess of one-twelfth of the budget appropriations for the preceding accounting period, but not in excess of one-twelfth of the appropriations provided in the draft budget." 2. In paragraph 3 the words "shall continue to" should be replaced by the words "shall, on a provisional basis".

Reason for 1: The draft text of paragraph 2 is obscure, since the French text at least does not make it clear which of the one-twelfths of paragraph 1 is referred to. Moreover, the reference to "the other provisions laid down in paragraph 1" is not precise. Proposal No. 1 above is an attempt to remove these obscurities.

Reason for 2: In our opinion, the payments referred to in paragraph 3 are "provisional" in the same way as those of paragraph 4, i.e. they are advances subject to the final calculation of payments. The same wording should therefore be used in paragraph 3.

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EPR 1002173

FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

- 1973 -

Munich, 10 September 1973

M/54/I/II/III

Original: German

CONFERENCE DOCUMENT

Drawn up by: The Swiss delegation

Subject: Proposals for amendments to the draft texts

Artikel 45

Vorläufige Haushaltsführung (1) Ist zu Beginn eines Haushaltsjahrs der Haushaltsplan vom Verwaltungsrat noch nicht festgestellt, so können nach der Finanzordnung für jedes Kapitel oder jede sonstige Untergliederung monatliche Ausgaben bis zur Höhe eines Zwölftels der im abgelaufenen Haushaltsplan bereitgestellten Mittel vorgenommen werden; der Präsident des Europäischen Patentamts darf jedoch höchstens über ein Zwölftel der Mittel verfügen, die in dem Entwurf des Haushaltsplans vorgesehen sind. (2) Der Verwaltungsrat kann unter Beachtung der sonstigen Vorschriften des Absatzes 1 Ausgaben genehmigen, die über dieses Zwölftel hinausgehen. (3) Die in Artikel 35 Buchstabe b genannten Zahlungen werden weiterhin nach Maßgabe der Bedingungen geleistet, die nach Artikel 37 für das vorausgegangene Haushaltsjahr festgelegt worden sind. (4) Jeden Monat zahlen die Vertragsstaaten einstweilen nach dem in Artikel 38 Absätze 3 und 5 festgelegten Aufbringungsschlüssel besondere Finanzbeiträge, sofern dies notwendig ist, um die Durchführung der Absätze 1 und 2 zu gewährleisten. Artikel 37 Absatz 4 ist auf diese Beiträge entsprechend anzuwenden.

Artikel 46

Ausführung des Haushaltsplans (1) Im Rahmen der zugewiesenen Mittel führt der Präsident des Europäischen Patentamts den Haushaltsplan sowie Berichtigungs- und Nachtragshaushaltspläne in eigener Verantwortung aus. (2) Der Präsident des Europäischen Patentamts kann im Rahmen des Haushaltsplans nach Maßgabe der Finanzordnung Mittel von Kapitel zu Kapitel oder von Untergliederung zu Untergliederung übertragen.

Artikel 47

Rechnungsprüfung (1) Die Rechnung über alle Einnahmen und Ausgaben des Haushaltsplans sowie eine Übersicht über das Vermögen und die Schulden der Organisation werden von Rechnungsprüfern geprüft, die volle Gewähr für ihre Unabhängigkeit bieten müssen und die vom Verwaltungsrat für einen Zeitraum von fünf Jahren bestellt werden; die Bestellung kann verlängert oder erneuert werden.

Article 45

Provisional budget (1) If, at the beginning of the accounting period, the budget has not been adopted by the Administrative Council, expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Financial Regulations, up to one-twelfth of the budget appropriations for the preceding accounting period, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in the draft budget. (2) The Administrative Council may, subject to the observance of the other provisions laid down in paragraph 1, authorise expenditure in excess of one-twelfth of the appropriations. (3) The payments referred to in Article 35, sub-paragraph (b), shall continue to be made under the conditions determined under Article 37 for the year preceding that to which the draft budget relates. (4) The Contracting States shall pay each month, on a provisional basis and in accordance with the scale referred to in Article 38, paragraphs 3 and 5, any special financial contributions necessary to ensure implementation of paragraphs 1 and 2 above. Article 37, paragraph 4, shall apply mutatis mutandis to these contributions.

Article 46

Budget implementation (1) The President of the European Patent Office shall implement the budget and any amending or supplementary budget on his own responsibility and within the limits of the allocated appropriations. (2) Within the budget, the President of the European Patent Office may, subject to the limits and conditions laid down in the Financial Regulations, transfer funds as between the various headings or sub-headings.

Article 47

Auditing of accounts (1) The income and expenditure account and a balance sheet of the Organisation shall be examined by auditors whose independence is beyond doubt, appointed by the Administrative Council for a period of five years, which shall be renewable or extensible.

PROJET DE CONVENTION

INSTITUANT UN SYSTÈME EUROPÉEN DE DÉLIVRANCE DE BREVETS

ÜBER DIE EINFÜHRUNG EINES EUROPÄISCHEN PATENTERTEILUNGSVERFAHRENS 1973

(München, 10. September bis 6. Oktober 1973)

MUNICH DIPLOMATIC CONFERENCE

FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS, 1973 (Munich, 10 September to 6 October 1973)

CONFERENCE DIPLOMATIQUE DE MUNICH

POUR L'INSTITUTION D'UN SYSTÈME EUROPÉEN DE DÉLIVRANCE DE BREVETS (1973) (Munich, 10 septembre - 6 octobre 1973)

VORBEREITENDE DOKUMENTE

ausgearbeitet von der Regierungskonferenz über die Einführung eines europäischen Patenterteilungsverfahrens herausgegeben von der Regierung der Bundesrepublik Deutschland

PREPARATORY DOCUMENTS

drawn up by the Inter-Governmental Conference for the setting up of a European System for the Grant of Patents and published by the Government of the Federal Republic of Germany

DOCUMENTS PRÉPARATOIRES

élaborés par la Conférence intergouvernementale pour l'institution d'un système européen de délivrance de brevets et publiés par le Gouvernement de la République fédérale d'Allemagne

Page 18

In conclusion, the Working Party recorded its agreement on the principle of the payment of amounts under Article 43, it being understood that these amounts would be those applicable on the date when the State ceased to be party to the Convention. This principle is contained in Article 171a, paragraph 2.

Article 41 (Cover for expenditure)

Article 45 (Advances)

Article 52 (Provisional budget)

Article 52d (Financial Regulations), letter (e)

17. After examining the proposals relating to these Articles, drawn up by the "Community Patent" Experts' Working Party of the EEC at its meeting of 8/18 June 1971 (cf. BR/126/71), the Working Party recorded its agreement on these proposals:

Article 52d (Financial Regulations) letter (f)

18. The German delegation suggested that the Working Party should supplement Article 52d by making explicit provision for the establishment of a Budget and Finance Committee.

The grounds for this suggestion, set out in working document No. 1 of Working Party IV dated 22 February 1972, are, basically, to enable decisions of the Administrative Council on matters relating to the budget and finances to be prepared by a committee of experts.

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INTER-GOVERNMENTAL CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

Brussels, 11th April 1972 B R / 178 / 72

- Secretariat -

MINUTES of the 4th meeting of Working Party IV (Luxembourg, 22 to 24 February 1972)

1. Working Party IV held its 4th meeting at Luxembourg from 22 to 24 February 1972, with Mr E. ARMITAGE, ComptrollerGeneral of the Patent Office, London, in the Chair.

A representative of the International Patent Institute at The Hague attended the meeting as an observer. Representatives of WIPO, the Commission of the European Communities and the General Secretariat of the Council of Europe sent their apologies for being unable to be present. (1) 2. The Working Party adopted the provisional agenda contained in BR/GT IV/46/72. (1) The list of participants is annexed.

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(2) Nach Maßgabe der Finanzordnung dürfen die nicht für Personalausgaben vorgesehenen Mittel, die bis zum Ende der Durchführungszeit eines Haushaltsplans nicht verbraucht worden sind, lediglich auf das nächste Haushaltsjahr übertragen werden. (3) Die vorgesehenen Mittel werden nach Kapiteln gegliedert, in denen die Ausgaben nach Art oder Bestimmung zusammengefaßt sind; soweit erforderlich, werden die Kapitel nach der Finanzordnung unterteilt.

Artikel 49

Haushaltsjahr Das Haushaltsjahr beginnt am 1. Januar und endet am 31. Dezember.

Artikel 50

Entwurf des Haushaltsplans Der Präsident des Europäischen Patentamts legt den Entwurf des Haushaltsplans dem Verwaltungsrat bis zum 30. September des Jahres vor, das dem entsprechenden Haushaltsjahr vorausgeht.

Artikel 51

Feststellung des Haushaltsplans Der Haushaltsplan wird vom Verwaltungsrat festgestellt.

Artikel 52

Vorläufige Haushaltsführung (1) Ist zu Beginn eines Haushaltsjahrs der Haushaltsplan vom Verwaltungsrat noch nicht festgestellt, so können nach der Finanzordnung für jedes Kapitel oder jede sonstige Untergliederung monatliche Ausgaben bis zur Höhe eines Zwölftels der im abgelaufenen Haushaltsplan bereitgestellten Mittel vorgenommen werden; der Präsident des Europäischen Patentamts darf jedoch höchstens über ein Zwölftel der Mittel verfügen, die in dem Entwurf des Haushaltsplans vorgesehen sind. (2) Der Verwaltungsrat kann unter Beachtung der sonstigen Bestimmungen des Absatzes 1 Ausgaben genehmigen, die über dieses Zwölftel hinausgehen. (3) Die in Artikel 41 Buchstabe b genannten Zahlungen werden weiterhin nach Maßgabe der Bedingungen geleistet, die nach Artikel 43 für das vorausgegangene Haushaltsjahr festgelegt worden sind. (4) Jeden Monat zahlen die Vertragsstaaten einstweilen nach dem in Artikel 44 Absatz 3 festgelegten Aufbringungsschlüssel besondere Finanzbeiträge, sofern dies notwendig ist, um die Durchführung der Absätze 1 und 2 zu gewährleisten. Artikel 43 Absatz 6 ist auf diese Beiträge entsprechend anzuwenden. (2) Subject to the conditions to be laid down in the Financial Regulations, any appropriations, other than those relating to staff costs, which are unexpended at the end of the accounting period may be carried forward, but not beyond the end of the following accounting period. (3) Appropriations shall be set out under different headings according to type and purpose of the expenditure and subdivided, as far as necessary, in accordance with the Financial Regulations.

Article 49

Accounting period The accounting period shall commence on 1 January and end on 31 December.

Article 50

Draft budget The President of the European Patent Office shall lay. the draft budget before the Administrative Council nd later than 30 September of the year preceding that to which it relates.

Article 51

Adoption of the budget The budget shall be adopted by the Administrative Council.

Article 52

Provisional budget (1) If, at the beginning of the accounting period, the budget has not been adopted by the Administrative Council, expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Financial Regulations, up to one-twelfth of the budget appropriations for the preceding accounting period, provided that the appro priations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in the draft budget. (2) The Administrative Council may, subject to the observance of the other provisions laid down in the first paragraph, authorise expenditure in excess of one-twelfth of the appropriations. (3) The payments referred to in Article 41, subparagraph (b), shall continue to be made under the conditions determined under Article 43 for the year preceding that to which the draft budget relates. (4) The Contracting States shall pay each month, on a provisional basis and in accordance with the scale referred to in Article 44, paragraph 3, any special financial contributions necessary to ensure implementation of paragraphs 1 and 2 above. Article 43, paragraph 6, shall apply mutatis mutandis to these contributions.

ZWEITER VORENTWURF EINES ÜBEREINKOMMENS ÜBER EIN EUROPÄISCHES PATENTERTEILUNGSVERFAHREN

SECOND PRELIMINARY DRAFT OF A CONVENTION ESTABLISHING A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

SECOND AVANT-PROJET DE CONVENTION INSTITUANT UN SYSTÈME EUROPÉEN DE DÉLIVRANCE DE BREVETS

Page 22

REGIERUNGSKONFERENZ ÜBER DIE EINFÜHRUNG EINES EUROPÄISCHEN PATENTERTEILUNGSVERFAHREN INTER-GOVERNMENTAL CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS CONFERENCE INTERGOUVERNEMENTALE POUR L'INSTITUTION D'UN SYSTEME EUROPEEN DE DELIVRANCE DE BREVETS

ZWEITER VORENTWURF EINES ÜBEREINKOMMENS ÜBER EIN EUROPÄISCHES PATENTERTEILUNGSVERFAHREN

sowie ERSTER VORENTWURF EINER AUSFÜHRUNGSORDNUNG ZUM ÜBEREINKOMMEN ÜBER EIN EUROPÄISCHES PATENTERTEILUNGSVERFAHREN und ERSTER VORENTWURF EINER GEBÜHRENORDNUNG

SECOND PRELIMINARY DRAFT OF A CONVENTION ESTABLISHING A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

with FIRST PRELIMINARY DRAFT OF THE IMPLEMENTING REGULATIONS TO THE CONVENTION ESTABLISHING A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS and FIRST PRELIMINARY DRAFT OF THE RULES RELATING TO FEES

ainsi que

PREMIER AVANT-PROJET DE RÈGLEMENT D'EXÉCUTION DE LA CONVENTION INSTITUANT UN SYSTÈME EUROPÉEN DE DÉLIVRANCE DE BREVETS et PREMIER AVANT-PROJET DE RÈGLEMENT RELATIF AUX TAXES

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30. Article 48 - Provisional Budget

As regards paragraph 2, the Working Party agreed, on the matter of the provisional budget, to use the formula contained in Article 204 (2) of the EEC Treaty (1). 31. Following a proposal by the United Kingdom delegation, (see BR/GT IV/36/70), the Working Party thought it advisable to lay down, in a new paragraph 3, that for the purposes of applying Article 48, payments by the Contracting States should continue to be made under the conditions laid down for the preceding financial year. It also specified, in a new paragraph 4, the Contracting States' obligation to pay a proportion of their special financial contributions, on a provisional basis. 32. (1) Article 204 of the EEC Treaty, dealing with the provisional figure of one-twelfth, has been applied within the EEC on several occasions (1963, 1966 and 1968). The ceiling authorised for monthly expenditure, in the event of the budget not yet having been voted, is one-twelfth of the budget credits for a given chapter, for the previous financial year. This ceiling may however be lowered where the pending draft budget makes provision, in respect of the same chapter, for appropriations lower than those appearing in the budget for the previous financial year. In that event, the ceiling would no longer be one-twelfth of the total credits for the previous financial year, but one-twelfth of the amount provided for in the draft budget to be adopted. The Council may still, under the terms of Article 204, authorise expenditure in excess of one-twelfth of the appropriation.

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INTER-GOVERNMENTAL CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

Brussels, 27 November 1970 BR/GT IV/41/70

- Secretariat -

MINUTES

of the third meeting of Working Party IV (Luxembourg, 13-15 October 1970)

1. The third meeting of Working Party IV was held in Luxembourg, from 13 to 15 October 1970, with Mr. E. ARMITAGE, Comptroller General, Patent Office, London, in the Chair.

The representatives of the International Patent Institute at The Hague and of WIPO/BIRPI took part in the meeting as observers. The representative of the General Secretariat of the Council of Europe apologised for his absence. (1) 2. The Working Party began by examining, on the basis of various working documents (BR/GT IV/31/70 and BR/GT IV/36/70 with Addendum), the financial provisions of the First Preliminary Draft Convention establishing a European System for the Grant of Patents (Articles 42-53 and Article 187). It adopted these provisions as set out in BR/56/70. (1) The list of participants is given in the Annex.

BR/GT IV/41 e/70 lor/RT/fm

Article 48
Provisional budget

Text approved in principle by Working Party IV (1) If, at the beginning of the financial year, the buo get has not been voted by the Administrative Council, expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Financial Regulations adopted pursuant to Article 53, up to one-twelfth of the budget appropriations for the preceding financial year, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in the draft budget. (2) The Administrative Council may, subject to the observance of the other provisions laid down in the first paragraph, authorise expenditure in excess of one-twelfth of the appropriations. (3) Contracting States shall pay each month, on a provisional basis and in accordance with the scale adopted for the previous financial year, the amounts necessary to ensure implementation of this Article (1) (1) Paragraph 3 has not yet beendealt with by Working Party IV BR/OT IV/31 e/70 cm

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Article 48 Provisional budget

1962 Draft (1) If, at the beginning of the financial year, the budget has not been voted by the Administrative Council/, expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Regulations adopted pursuant to Article 53, up to one-twelfth of the budget appropriations for the preceding financial year, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in the draft budget / (2) The [Administrative Council]may, subject to the observance of the other provisions laid down in the first paragraph, authorise expenditure in excess of one-twelfth of the appropriations. (3) Contracting States shall pay each month, on a provisional basis and in accordance with the scale adopted for the previous financial year, the amounts necessary to ensure implementation of this Article.

INTRODUCTORY NOTE

1. Articles 43 to 53 and 187 were approved in principle by Working Party IV at its meeting of 6 to 9 July 1970 - subject to such redrafting as might be required, especially in the light of the final version of Articles 42 to 42 g .

As regards the first-mentioned Articles, Working Party IV has not yet dealt with Article 48(3) and Article 53d. 2. Articles 42 to 42 g have been drawn up by the drafting Committee of Working Party IV, but have not yet been re-examined by the Working Party itself.

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INTER-GOVERNMENTAL CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

- Secretariat -

Brussels, 14 July 1970 BR/GT IV/31/70

PRELIMINARY DRAFT CONVENTION FOR A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

Articles 42 to 42 g, 43 to 53 and 187

Texts either approved in principle by Working Party IV or drawn up by its Drafting Committee (meeting 6 to 9 July 1970)

compared synoptically with the financial provisions of the Draft Convention relating to a European Patent Law as drafted by the EEC "Patents" Working Party

BR/GT IV/31 e/70 rti/PB/sw

Page 29

Article 46 17. The original text of Article 46 concerning the presentation of the draft budget was also retained. The reservation about the reference to the Administrative Council was withdrawn.

Article 47 18. The provisions of Article 47 on the adoption of the budget were likewise adopted. The reservation regarding the Administrative Council was withdrawn.

Article 48 19. The provisions of Article 48 on the adoption of a provisional budget were retained as they stood. The abovementioned reservation, ans also that concerning the draft budget, were withdrawn. The last paragraph (paragraph 3), whose deletion had been suggested, is held over for the time being; the delegations agreed to re-examine the provisions of this paragraph during their next meeting.

Article 49 20. Working Party IV agreed on the text of Article 49 on budget implementation. Except for the reference to Financial Regulations (instead of Regulations), the Article was not amended in any way.

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INTER-GOVERNMENTAL CONFERENCE FOR THE SETTING UP OF A EUROPEAN SYSTEM FOR THE GRANT OF PATENTS

Brussels, 4 August 1970 BR/GT IV/32/70

- Sekretariat -

MINUTES of the second meeting of Working Party IV (Luxembourg, 6 - 9 July 1970)

1. The second meeting of Working Party IV was held in Luxembourg, from 6 to 9 July 1970 with Mr. E. ARMITAGE, Comptroller General of the Patent Office, London, in the chair.

As at the first meeting, the representatives of the International Patent Institute at The Hague took part in the meeting as observers. The representatives of the Council of Europe and of WIEO/BIRIT apologised for their absence (1).

I. - ORGANISATION OF THE WORK

2. On the proposal of the Chairman, Working Party IV decided to organise its work as follows:

(1) The list of participants is annexed to this document.

BR/GT IV/32 e/70 ond/PA/bm

Article 47

Adoption du budget Le budget est arrêté par le [Conseil d'administration7.

Article 48

Budget provisoire (1) Si au début d'un exercice budgétaire, le budget n'a pas encore été arrêté par le [Conseil d'administration7, les dépenses pourront être effectuées mensuellement par chapifre ou par une autre division, d'après les dispositions du règlement pris en exécution de l'article 53, dans la limite du douzième des crédits ouverts au budget de l'exercice président, sans que cette mesure puisse avoir pour effet de mettre à la disposition du président de l'office européen des brevets des crédits supérieurs au douzième de ceux prévus dans [Ie projet de budget7. (2) Le [Conseil d'administration7 peut, sous réserve que les autres conditions fixées à l'alinéa premier soient respectées, autoriser des dépenses exoédant le douaibme. (3) Les Etats contractants versent chaque mois, à titre provisionnel et conformément à la clef de répartition retenue pour l'exercice précédent, les sommes nécessaires en vue d'assurer l'application du présent article.

Article 49

Exécution du budget (1) Le président de l'office européen des brevets exécute le budget, sous sa propre responsabilité et dans la limite des crédits alloués. (2) A l'intérieur du budget, le président de l'office européen des brevets peut procéder, dans les limites et conditions fixées par le règlement pris en exécution de l'article 53, à des virements de crédits, soit de chapitre à chapitre, soit de subdivision à subdivision.

Article 50

Approbation des comptes (1) Les comptes de la totalité des recettes et dépenses du budget de l'office européen des brevets sont examinés par une commission de contrôle, formée de commissaires aux comptes offrant toutes garanties d'indépendance, et présidée par l'un d'eux.Le [Conseil d'administration7fixe le nombre des commissaires. Les commissaires et le président de la commission de contrôle sont désignés par le [Conseil d'administration 7 pour une période de cinq ans. Leur numération est fixée par le Conseil d'administration7. (2) La vérification, qui a lieu sur pièces et au besoin sur place, a pour objet de constater la légalité et la régularité des recettes et dépenses et de s'assurer de la bonne gestion financière. La commission de contrôle établit, après la clôture de chaque exercice, un rapport qu'elle adopte à la majorité des membres qui la composent.

Page 32

COMITE DE COORDINATION EN MATIERE DE PROPRIETE INDUSTRIELLE INSTITUE PAR LES ETATS MEMBRES ET LA COMMISSION DE LA COMMUNAUTE ECONOMIQUE EUROPEENNE

AVANT-PROJET DE CONVENTION

relatif à un droit européen des brevets élaboré par le groupe de travail «brevets»

VORENTWURF EINES ABKOMMENS über ein europäisches Patentrecht ausgearbeitet von der Arbeitsgruppe „Patente"

SCHEMA DI CONVENZIONE sul diritto europeo dei brevetti predisposto dal Gruppo di lavoro «brevetti»

COORDINATIE-COMITE OF HET GEBIED VAN DE INDUSTRIELE EIGENDOM INGE. STELD DOOR DE LIG-STATEN EN DE COMMISSIE VAN DE EUROPESE ECONOMISCHE GEMEENSCHAP

VOORONTWERP VERDRAG betreffende een Europees octrooirecht opgesteld door de werkgroep «octrooien»

Page 33

(2) Subject to the conditions to be laid down pursuant to Article 53, any appropriations, other than those relating to staff costs, which are unexpended at the end of the financial year may be carried forward, but not beyond the end of the following financial year. (3) Appropriations shall be set out under different headings according to type and purpose of the expenditure and subdivided, as far as necessary, in accordance with the Regulations adopted pursuant to Article 53.

Article 45. Financial year

The financial year shall commence on 1st January and end on 31st December.

Article 46. Draft budget

The President of the European Patent Office shall lay the draft budget before the [Administrative Council] not later than 30th September of the year preceding that of its implementation.

Article 47. Adoption of the budget

The budget shall be voted by the [Administrative Council].

Article 48. Provisional budget

(1) If, at the beginning of the financial year, the budget has not yet been voted by the [Administrative Council], expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Regulations adopted pursuant to Article 53, up to one-twelfth of the budget appropriations for the preceding financial year, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in [the draft budget]. (2) The [Administrative Council] may, subject to the observance of the other provisions laid down in the first paragraph, authorise expenditure in excess of one-twelfth of the appropriations. (3) Contracting States shall pay each month, on a provisional basis and in accordance with the scale adopted for the previous financial year, the amounts necessary to ensure implementation of this Article.

Article 49. Budget implementation

(1) The President of the European Patent Office shall implement the budget on his own responsibility and within the limits of the allocated appropriations. (2) Within the budget, the President of the European Patent Office may, subject to the limits and conditions laid down in the Regulations adopted pursuant to Article 53, transfer funds as between the various headings or subheadings.

Article 50. Auditing of accounts

(1) The income and expenditure account of the European Patent Office shall be examined by an Audit Board composed of independent auditors of whom one shall be the chairman. The [Administrative Council] shall fix the number of auditors. The members and the chairman of the Audit Board shall be appointed by the [Administrative Council] for a period of five years. Their remuneration shall be determined by the [Administrative Council].

Page 34

BOARD OF TRADE

Translation of a Draft Convention relating to a European Patent Law

LONDON HER MAJESTY'S STATIONERY OFFICE FIVE SHILLINGS NET

Page 35

Articlo 38 (48), 39 (48 b), 40 (48 + 48 a), 41 (274) Ces articlos sont adoptés sans observations. A la suite d'une question de M. Dagarre, le Précident précise que les crochets sont maintenus autour des mots "Conseil d'administration" pour indiquer qu'une décision doit etre prise au sujet de ce Conseil dans le cadro de la convention générale.

Articlo 42 (49)

Ia discussion de cot articlo est différée jusqu'à l'arrivée de M. Roscioni ot de la délégation frangaise.

Articlos 43 (194), 44 (195), 45 (196), 46 (197), 47 (198), 48 (199), 49 (200), 50 (201), 51 (202), 52 (203) et 53 (204)

Ces artjcles inspirés par ceux du Traité do Romo relatifs aux dispoxitions financières sont adoptés sans discussion.

Articlle 54 (50), 55 (51), ot 57 (55) Cos articles sont adoptés.

Articlo 56 (52)

Après une intorrontion de M. van Bonthem, au sujot du paragraphe 3 et un échange de rues sur la composition des divisions d'examen, le groupe maintiont la composition de trois nombres prévue à l'avant-projet en ajoutant toutefois que la division d'examen pout faire appel à un membre juristo pour prondra des décisions où interviennent des questions de droit. En outre, il désire faire figurer sous cet article une remarque disant que lo Président devrait pouvoir défirir les cas dans lesquels la division devrait s'assurer lo concours d'un membre juriste. L'article est adopté avec cotte observation et transmis au Comité de rédaction.

Page 36

GROUPE DE TRAVAIL " Brevets "

Bruxelles, le 31 juillet 1962 Confidentiel

Résultats de la sixième session

du groupe de travail " Brevets " qui s'est tenue à Munich du 13 au 23 juin 1962

Page 37

Article 48 (199) Budgot provisoire (1) Si au début d'un exercice budgétaire, le budget n'a pas encore été arrêté par le [Conseil d'administration7, les dépenses pourront être effectuées mensuellement par chapitre ou par une autre division, d'après les dispositions du règlement pris en exécution de l'article 53, dans la limite du douzième des crédits, ouverts au budget de l'exercice précédent, sans que cette mesure puisse avoir pour effet de mettre à la disposition du Président de l'office européen des brevets des crédits supéricurs au douzième de ceux prévus dans [le projet de budget7. (2) Le [Conseil d'administration 7 peut, sous réserve que les autres conditions fixées à l'alinéa premier soient respectées, autoriser des dépenses excédant le douzième. (3) Les Etats contractants versent chaque mois, à titre provisionnel et conformément à la clef de répartition retenue pour l'exercice précédent, les sommes nécessaires en vue d'assurer l'application du présent article.

AVANT-PROJET DE CONVENTION
RELATIF A
UN DROIT EUROPEEN DES BREVETS

=V E Mai 1962

Page 39

demandé si elles peuvent être utilisées telles quelles et sans connaître le contenu de la Convention générale.

Les dispositions sont transmises au Comité de rédaction.

Discussion de la proposition allemande au sujet de l'article 230 M. Pfanner expose qu'en adoptant l'article 159 concernant la représentation, le groupe a adopté une condition spécifiant qu'un représentant professionnel devrait avoir son domicile d'affaires sur le territoire des Etats contractants. Or, dans la République fédérale, il existe, dans le cadre des mesures de réparation des injustices commises par le régime nazi, une catégorie de personnes qui, sans avoir leur domicile d'affaires sur le territoire de la République fédérale, sont admises comme avocat ou comme agent en brevets.

La délégation allemande souhaiterait voir étendue cette réglementation au brevet européen. C'est pourquoi elle a soumis sa proposition.

Elle précise en outre que cette disposition aura un effet limité à la personne du bénéficiaire.

Le groupe est d'accord sur le principe mais préfère insérer une disposition à ce sujet dans un protocole annexe à la Convention.

Discussion de l'article 271 de l'avant-projet Le Président indique que ces dispositions visent à déterminer la portée territoriale du brevet européen. Il rappelle qu'à l'article 20 deux variantes ont été formulées dont la deuxième fait référence à une disposition contenue dans l'article 271.

Il y a deux solutions possibles. Ou bien le brevet européen aura la même portée que les brevets nationaux dans chacun des Etats contractants. Ou bien la portée territoriale du brevet européen se limite au territoire européen des Etats contractants.

Page 40

Discussion des dispositions financières de l'article 194 et suivantes

Le Président indique qu'il faut des dispositions financières étant donné que le budget annuel de l'Office européen sera très important. Il a pris comme modèle pour les dispositions financières qu'il propose les articles 199 à 209 du Traité de Rome car il contient en la matière les dispositions les plus détaillées de toutes les conventions internationales. De plus, tous les gouvernements ont déjà accepté et pratiqué ses dispositions. Ainsi on n'aurait pas à craindre de difficultés à ce sujet pour la Convention des brevets.

Sur une question de M. van Benthem, il précise que les commissaires aux comptes mentionnés à l'article 201 ne sont pas des fonctionnaires mais des personnes indépendantes chargées d'effectuer des contrôles.

Au sujet de l'article 204, M. Fressonnet se demande si cette règle ne devrait pas être insérée dans une disposition générale concernant les pouvoirs attribués au Conseil d'administration. De plus, il pense que les dispositions financières devraient essentiellement être placées dans la Convention générale.

Le Président lui fait remarquer que la question de la place de la disposition sur les pouvoirs financiers du Conscil d'administration devrait être résolue lors de la rédaction finale du projet. D'ailleurs il est d'accord pour que les dispositions financières figurent dans la Convention générale.

La majorité du groupe estime utile d'utiliser comme modèle le Traité de Rome pour les dispositions financières de la Convention sur le brevet européen. Sans les avoir examinés en détail, il adopte les articles 194 à 204 en bloc pour servir de base de discussion au Comité de coordination.

La délégation française formule une réserve. Elle estime inopportun de reprendre en bloc les règles financières du Traité de Rome sans s'être

Deuxième Partie : COMPTES RENDUS

Avant-projet de convention relatif à un droit européen des brevets

Page 42

GROUPE DE TRAVAIL " Brevets "

Bruxelles, le 22 mai 1962. Confidentiel

Résultats de la cinquième sossion du groupe de travail " Brevets " qui s'est tenue à Bruxelles du 2 au 18 avril 1962

Page 43

Article 199 Budget provisoire

1. Documents : 2. Remarques :

Cet article correspond à l'article 204 du Traité de la CEE.

Page 44

Les propositions suivantes s'appuient sur les dispositions du Traité instituant la CEE pour les raisons suivantes : d'une part, les dispositions financières relatives aux organes du Marché commun (articles 199 à 209 du Traité de la CEE) sont sans doute, à l'heure actuelle, les dispositions les plus détaillées concernant le budget des organismes internationaux et d'autre part, ces dispositions sont connues de tous les Etats signataires de notre Convention et actuellement appliquées par ceux-ci.

Le Groupe de travail devra en premier lieu se prononcer sur la question de principe de savoir si, comme on l'a proposé, il y a lieu, en ce qui concerne l'Office européen des brevets, de prendre pour base les dispositions financières du Traité de la CEE ou s'il y a lieu de se référer aux dispositions financières d'une autre convention internationale ou, enfin, s'il est nécessaire d'élaborer des dispositions entièrement nouvelles pour l'Office européen des brevets. Au cas où le Groupe de travail se rallierait à l'avis do son Président, qui estime qu'il convient, à ce sujet, de se fonder sur les dispositions financières du Traité de la CEE, il serait nécessaire d'examiner chacun des articles proposés afin d'établir si, compte tenu de. l'organisation de l'Office européen des brevets et surtout dans la perspective de la création d'un conseil d'administration, les articles en question sont adaptés dans leur forme actuelle aux nécessités de l'organisme considéré. Il ne serait guère possible pour le Groupe de travail de se prononcer définitivement sur les détails des dispositions financières. Il faudra pour cela que les experts des ministères des finances des Etats contractants soient entendus en temps opportun.

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Deuxième partie Dispositions générales

Deuxième section Dispositions financières

Remarques préliminaires concernant les articles 194 à 204

1. Documents :

Traité du 25 mars 1957 instituant la Communauté Economique Européenne, articles 199 à 209. 2. Remarques :

Etant donné que l'Office européen des brevets disposerade recettes considerables, au moins dès que sa structure sera complète, et que par ailleurs il devra faire face à des dépenses élevées - l'Office allemand des brevets a fait en 1961 environ 50 millions de DM de recettes; on peut envisager que les recettes de l'Office européen des brevets, après sa constitution définitive, ne seront pas fortement inférieures - il semble nécessaire que la Convention contienne des prescriptions à la fois précises et élaborées avec soin concernant le régime financier de l'Office européen des brevets.

Deux institutions peuvent être citées à titre d'exemple en ce qui concerne ces dispositions : a) l'Institut international des brevets, à La Haye, b) les organes du Marché commun.

Page 46

Kurt Haertel

Bonn, le 28 février 1962 CONFIDENTIAL !

Remarques relatives au premier avant-projet de convention sur un droit européen des brevets

Articles 194 à 210 [Articles 194 à 204] Dispositions financières

Page 47

Article 199 Budget provisoire (1) Si au début d'un exercice budgétaire, le budget n'a pas encore été adopté par le [Conseil d'administration], les dépenses pourront être effectuées mensuellement par chapitre ou par autre division, d'après les dispositions du règlement pris en exécution de l'article 204, dans la limite du douzième des crédits ouverts au budget de l'exercice précédent, sans que cette mesure puisse avoir pour effet de mettre à la disposition du Président de l'Office européen des brevets des crédits supérieurs au douzième de ceux prévus dans l'état prévisionnel. (2) Le [Conseil d'administration] peut, sous réserve que les autres conditions fixées à l'alinéa prémier soient respectées, autoriser des dépenses excédant le douzième. (3) Les Etats contractants versent chaque mois, à titre provisionnel et conformément à la clef de répartition retenue pour l'exercice précédent, les sommes nécessaires en vue d'assurer l'application du présent article.

Page 48

Kurt Haertel

1416/IV/62-F Bonn, le 28 février 1962

CONFIDENTIEL !

Premier avant-projet de convention relatif à un droit européen des brevets

Articles 194 à 210 [Articles 194 à 2047

Dispositions financières

Artikel 47
Feststellung des Haushaltsplans

Der Haushaltsplan wird vom [Verwaltungsrat] festgestellt.

Artikel 48 Vorgriff (1) Ist zu Beginn eines Haushaltsjahres der Haushaltsplan vom [Verwaltungsrat] noch nicht festgestellt, so können nach der gemäss Artikel 53 festgelegten Haushaltsordnung für jedes Kapitel oder jede sonstige Untergliederung monatliche Ausgaben bis zur Höhe eines Zwölftels der im abgelaufenen Haushaltsplan bereitgestellten Mittel vorgenommen werden; der Präsident des Europäischen Patentants darf jedoch höchstens über ein Zwölftel der Mittel verfügen, die in dem [Entwurf des Haushaltsplans] vorgesehen sind. (2) Der [Verwaltungsrat] kann unter Beachtung der sonstigen Bestimmungen des Absatzes 1 Ausgaben genehmigen, die über dieses Zwölftel hinausgehen. (3) Jeden Monat zahlen die Vertragstaaten einstweilig nach dem für das vorausgegangene Haushaltsjahr festgelegten Aufbringungsschlüssel die erforderlichen Beträge zur Durchführung dieses Artikels.

Artikel 49 Ausführung des Haushaltsplans (1) Im Rahmen der zugewiesenen Mittel führt der Präsident des Europäischen Patentants den Haushaltsplan in eigener Verantwortung aus. (2) Der Präsident des Europäischen Patentants kann nach der gemäss Artikel 53 festgelegten Haushaltsordnung Mittel von Kapitel zu Kapitel oder von Untergliederung zu Untergliederung übertragen.

Artikel 50 Bestätigung der Rechnung (1) Die Rechnung über alle Einnahmen und Ausgaben des Haushalts des Europäischen Patentants wird durch einen Kontrollausschuss geprüft; dieser besteht aus Rechnungsprüfern, die volle Gewähr für ihre Unabhängigkeit bieten müssen; einer der Prüfer führt den Vorsitz. Der [Verwaltungsrat] legt die Anzahl der Rechnungsprüfer fest. Die Rechnungsprüfer und der Vorsitzende des Kontrollausschusses werden vom [Verwaltungsrat] auf fünf Jahre bestellt. Ihre Vergätung wird vom [Verwaltungsrat] festgelegt. (2) Durch die Prüfung, die an Hand der Rechnungsunterlagen und erforderlichenfalls an Ort und Stelle durchgeführt wird, stellt der Kontrollausschuss die Rechtmässigkeit und Ordnungsäaßigkeit der Einnahmen und Ausgaben fest und überzeugt sich von der Wirtschaftlichkeit der Haushaltsführung. Nach Abschluss eines jeden Haushaltsjahres erstattet der Kontrollausschuss einen Bericht, den er mit der Mehrheit seiner Mitglieder annimmt.

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COMITE DE COORDINATION EN MATIERE DE PROPRIETE INDUSTRIELLE INSTITUE PAR LES ETATS MEMBRES ET LA COMMISSION DE LA COMMUNAUTE ECONOMIQUE EUROPEENNE

AVANT-PROJET DE CONVENTION

relatif à un droit européen des brevets élaboré par le groupe de travail «brevets»

VORENTWURF EINES ABKOMMENS über ein europäisches Patentrecht ausgearbeitet von der Arbeitsgruppe „Patente"

COMITATO DI COORDINAMENTO IN MATERIA DI PROPRIETA INDUSTRIALE ISTITUITO DAGLI STATI MEMBRI E DALLA COMMISSIONE DELLA COMUNITÀ ECONOMICA EUROPEA

COORDINATIE-COMITE OP HET GEBIED VAN DE INDUSTRIELE EIGENDOM INGESTELD DOOR DE LID-STATEN EN DE COMMISSIE VAN DE EUROPESE ECONOMISCHE GEMEENSCHAP

SCHEMA DI CONVENZIONE

sul diritto europeo dei brevetti predisposto dal Gruppo di lavoro «brevetti»

VOORONTWERP VERDRAG

betreffende een Europees octrooirecht opgesteld door de werkgroep "octrooien"

Page 51

(2) Subject to the conditions to be laid down pursuant to Article 53, any appropriations, other than those relating to staff costs, which are unexpended at the end of the financial year may be carried forward, but not beyond the end of the following financial year. (3) Appropriations shall be set out under different headings according to type and purpose of the expenditure and subdivided, as far as necessary, in accordance with the Regulations adopted pursuant to Article 53.

Article 45. Financial year

The financial year shall commence on 1st January and end on 31st December.

Article 46. Draft budget

The President of the European Patent Office shall lay the draft budget before the [Administrative Council] not later than 30th September of the year preceding that of its implementation.

Article 47. Adoption of the budget

The budget shall be voted by the [Administrative Council].

Article 48. Provisional budget

(1) If, at the beginning of the financial year, the budget has not yet been voted by the [Administrative Council], expenditures may be effected on a monthly basis per heading or other division of the budget, according to the provisions of the Regulations adopted pursuant to Article 53, up to one-twelfth of the budget appropriations for the preceding financial year, provided that the appropriations thus made available to the President of the European Patent Office shall not exceed one-twelfth of those provided for in [the draft budget]. (2) The [Administrative Council] may, subject to the observance of the other provisions laid down in the first paragraph, authorise expenditure in excess of one-twelfth of the appropriations. (3) Contracting States shall pay each month, on a provisional basis and in accordance with the scale adopted for the previous financial year, the amounts necessary to ensure implementation of this Article.

Article 49. Budget implementation

(1) The President of the European Patent Office shall implement the budget on his own responsibility and within the limits of the allocated appropriations. (2) Within the budget, the President of the European Patent Office may, subject to the limits and conditions laid down in the Regulations adopted pursuant to Article 53, transfer funds as between the various headings or subheadings.

Article 50. Auditing of accounts

(1) The income and expenditure account of the European Patent Office shall be examined by an Audit Board composed of independent auditors of whom one shall be the chairman. The [Administrative Council] shall fix the number of auditors. The members and the chairman of the Audit Board shall be appointed by the [Administrative Council] for a period of five years. Their remuneration shall be determined by the [Administrative Council].

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BOARD OF TRADE

Translation of a Draft Convention relating to a European Patent Law

LONDON HER MAJESTY'S STATIONERY OFFICE FIVE SHILLINGS NET

Page 53

Artikel 38(48), 39(48 b), 40(48+48 a), 41 (274) Diese Artikel wurden ohne Änderungsvorschläge angenommen. Eine Frage des Herrn Degavre beantwortete der Vorsitzende dahingehend, daß die eckigen Klammern für den Ausdruck "Verwaltungsrat" beibehalten werden sollen, um darauf hinzuweisen, daß im Rahmen des allgemeinen Abkommens noch eine Entscheidung über diesen Rat getroffen werden müsse.

Artikel 42 (49) Die Besprechung dieses Artikels wird bis zur Ankunft des Herrn Roscioni sowie der französischen Delegation vertagt.

Artikel 43 (194), 44 (195), 45 (196), 46 (197), 47 (198), 48 (199), 49 (200), 50 (201), 51 (202), 52 (203) und 53 (204)

Diese mit den Artikeln des Rom-Vertrages zusammenhängenden Artikel über die Finanzvorschriften wurden ohne Diskussion angenommen.

Artikel 54 (50), 55 (51), und 57 (55) Diese Artikel wurden gleichfalls angenommen. Artikel 56 (52) Nach einer Zwischenfrage von Herrn van Benthem wegen Absatz 3 und einem Gedankenaustausch über die Zusammensetzung der Prüfungsabteilungen behielt die Gruppe die im Vorentwurf vorgesehene Zusammensetzung aus drei Prüfern bei, fügte jedoch hinzu, daß die Prüfungsabteilung bei Entscheidungen über Rechtsfragen um einen rechtskundigen Prüfer erweitert werden könne. Ferner beabsichtigt die Gruppe, diesem Artikel eine Bemerkung anzufügen, wonach der Vorsitzende die Fälle bestimmen soll, in denen die Prüfungsabteilung ein rechtskundiges Mitglied hinzúziehen müsse. Der Artikel wurde mit dieser Bemerkung angenommen und dem Redaktionsausschuß überwiesen.

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ARBEITSGRUPPE " Patente "

Brüssel, den 31. Juli 1962 Vertraulich

Ergebnisse der sechsten Sitzung der Arbeitsgruppe "Patente" vom 13. bis 23. Juni 1962 in Mlnchen

Artikel 48 (199)

Vorgriff (1) Ist zu Beginn eines Haushaltsjahres der Haushaltsplan vom [Verwaltungsrat7 noch nicht festgestellt, so können nach der gemäss Artikel 53 festgelegten Haushaltsordnung für jedes Kapitel oder jede sonstige Untergliederung monatliche Ausgaben bis zur Höhe eines Zwölftels der im abgelaufenen Haushaltsplan bereitgestellten Mittel vorgenommen werden; der Prāsitent des Europäischen Patentamts darf jedoch höchstens über ein Zwölftel der Mittel verfügen, die in dem [Entwurf des Haushaltsplans7 vorgesehen sind. (2) Der [Verwaltungsrat7 kann unter Beachtung der sonstigen Bestimmungen des Absatzes 1 Ausgaben genehmigen, die über dieses Zwölftel hinausgehen. (3) Jeden Monat zahlen die Vertragsstaaten einstweilig nach dem für das vorausgegangene Haushaltsjahr festgelegten Aufbringungsschlüssel die erforderlichen Beträge zur Durchführung dieses Artikels.

Page 56

Arbeitsgruppe "Patente" Brüssel, den 26. Mai 1962 Redaktionsausschuss

STRENG VERTRAULICH

Vor e h t w u f f eines Abkommens über ein europäisches Patentrecht

Page 57

Beratung der Finanzvorschriften der Artikel 194 ff

Der Vorsitzende erklärt, die Notwendigkeit von Finanzvorschriften ergebe sich aus der grossen Bedeutung des Haushaltsplans des Europäischen Patentamts. Als Muster für die von ihm vorgeschlagenen Bestimmungen habe der Rom-Vertrag gedient, der in den Artikeln 199 bis 209 die ausführlichste Regelung dieser Materie von allen internationalen Abkommen enthalte. Ausserdem hätten bereits alle Regierungen diese Bestimmungen anerkannt und angewandt. So brauche man für das Patentrechtsabkommen auf diesem Gebiet keine Schwierigkeiten zu befürchten.

In Beantwortung einer Frage Herrn van Benthems führt der Vorsitzende aus, die in Artikel 201 erwähnten Finanzprüfer sollten keine Beamten, sondern mit der Prüfung beauftragte unabhängige Persönlichkeiten sein.

Herr Fressonnet stellt zu Artikel 204 die Frage, ob diese Bestimmung nicht in eine allgemeine Vorschrift uber die Befugnisse des Verwaltungsrats aufgenommen werden müsse. Ferner sei er der Ansicht, dass die Finanzvorschriften unbedingt im allgemeinen Abkommen enthalten sein müssten.

Der Vorsitzende erwidert, wo die betreffenden Befugnisse des Verwaltungsrats geregelt würden, müsse bei der endgültigen Abfassung des Entwurfs entschieden werden. Er sei im übrigen damit einverstanden, die Finanzvorschriften in das allgemeine Abkommen aufaunehmen.

Die Mehrheit der Arbeitsgruppe hält es für zweckmässig, den RomVertrag für die Finanzvorschriften des europäischen Patentrechtsabkommens als Muster zu benutzen. Ohne nähere Prüfung werden die Artikel 194 bis 204 en bloc als Beratungsgrundlage im Koordinierungsausschuss angenommen.

Die französische Delegation macht einen Vorbehalt. Sie hält es für unzweckmässig, die Finanzvorschriften des Rom-Vertrages en bloc zu übernehmen, ohne zu prüfen, ob sie so, wie sie sind, verwendet werden können und ohne den Inhalt des allgemeinen Abkommens zu kennen.

Die Bestimmungen werden dem Redaktionsausschuss überwiesen.

Page 58

ARBEITSGRUPPE "Patente"

Zweiter Teil : SITZUNGSBERICHTE

Arbeitsentwurf eines Abkommens über ein europäisches Patentrecht

Page 59

ARBEITSGRUPPE " Patente "

Brüssel, den 22. Mai 1962 VERTRAULICH

Ergebnisse der funften Sitzung der Arbeitsgruppe "Patente" vom 2. bis 18. April 1962 in Brüssel

3076/IV/62-D Orig.: F

Vorgriff

1. Materialien: -.- 2. Bemerkungen:

Dieser Artikel entspricht dem Artikel 204 des EWG-Vertrags.

Page 61

Die folgenden Vorschläge lehnen sich an die Vorschriften des EWG-Vertrags an. Hierfür waren folgende Gründe maßgebend: Einmal sind die Finanzvorschriften für die Organe des Gemeinsamen Markts (Artikel 199 bis 209 des EWG-Vertrags) wohl die zur Zeit eingehendsten internationalen Vorschriften über die Haushaltsführung internationaler Organe. Zum anderen sind diese Vorschriften allen Vertragsstaaten unseres Abkommens bekannt und werden von ihnen zur Zeit gehandhabt.

Die Arbeitsgruppe wird sich in erster Linie zu der Grundsatzfrage äußern müssen, ob für das Europäische Patentamt, wie vorgeschlagen, die Finanzvorschriften des EWG-Vertrags zugrundegelegt werden sollen oder ob die Finanzvorschriften eines anderen internationalen Abkommens als Vorbild herangezogen werden sollen oder ob ganz neuartige Vorschriften speziell für das Europäische Patentamt geschaffen werden sollen. Für den Fall, daß sich die Arbeitsgruppe der Auffassung ihres Vorsitzenden anschlieBt, daß für das Europäische Patentamt die Finanzvorschriften des EWG-Vertrags zugrundegelegt werden sollen, müBten die vorgeschlagenen Artikel im einzelnen daraufhin geprüft werden, ob sie in dieser Form für das Europäische Patentamt nach seiner Organisation und insbesondere im Hinblick auf die beabsichtigte Schaffung eines Verwaltungsrats geeignet sind. Über die Einzelheiten der Finanzvorschriften dürfte sich die Arbeitsgruppe kaum endgültig aussprechen können. Hierfür werden zu gegebener Zeit die Sachverständigen der Finanzministerien der Vertragsstaaten gehört werden müssen.

Zweiter Teil

Allgemeine Bestimmungen 2.Abschnitt

Finanzvorschriften V.o r b e m e r k u n g zu Artikel 194 bis 204

1. Materialien:

Vertrag zur Gründung der Europäischen Wirtschaftsgemeinschaft vom 25. März 1957, Artikel 199 bis 209.

2. Bemerkungen:

Da das Europäische Patentamt jedenfalls nach seinem vollständigen Aufbau über beträchtliche Einnahmen und Ausgaben verfügen wird - das Deutsche Patentamt hatte im Jahre 1961 rund 50 Millionen DM Einnahmen; man wird davon ausgehen können, daß das Europäische Patentamt nach seinem endgültigen Aufbau nicht wesentlich geringere Einnahmen haben wird - , erscheint es erforderlich, genaue und sorgfältige Vorschriften über das Finanzwesen des Europäischen Patentamts in dem Abkommen vorzusehen.

Als Vorbilder für solche Bestimmungen bieten sich zwei Institutionen an: a) Das Internationale Patentinstitut im Haag, b) die Organe des Gemeinsamen Markts.

VERTRAULICH！

B e m e r k u n g e n
zu dem Ersten Arbcitsentwurf
eines Abkommens
über ein europäisches Patentrecht
Artikel 194 bis 210
Artikel 194 bis 2047
Finanzvorschriften

(1) Ist zu Beginn eines Haushaltsjahres der Haushaltsplan vom ℱ Verwaltungsrat 7 noch nicht festgestellt, so können nach der gemäB Artikel 204 festgelegten Haushaltsordnung für jedes Kapitel oder jede sonstige Untergliederung monatliche Ausgaben bis zur Höhe eines Zwölftels der im abgelaufenen Haushaltsplan bereitgestellten Mittel vorgenommen werden; der Präsident des Europäischen Patentamts darf jedoch monatlich höchstens über ein Zwölftel der Mittel verfügen, die in dem Haushaltsvoranschlag vorgesehen sind.

(2) Der ℱ Verwaltungsrat 7 kann unter Beachtung der sonstigen Bestimmungen des Absatzes 1 Ausgaben. genehmigen, die über dieses Zwölftel hinausgehen. (3) Jeden Monat zahlen die Vertragsstaaten einstweilig nach dem für das vorausgegangene Haushaltsjahr festgelegten Aufbringungsschlüssel die erforderlichen Beträge zur Durchführung dieses Artikels.

VERTRAULICH !

Erster Arbeitsentwurf
eines Abkommens
über ein europäisches Patentrecht
Artikel 194 bis 210
/Ärtikel 194 bis 2047
Finanzvorschriften

Page 66

Annex III

Report

by Mr. Fressonnet, Deputy Director of the Institut National de la propriété Industrielle (France)

on the results of Main Committee III's proceedings

1. The terms of reference of Main Committee III, chaired by Mr. Armitage, Comptroller-General of the United Kingdom Patents Office, covered all the financial provisions contained in the Draft Convention submitted to the Munich Diplomatic Conference, i.e. 20 Articles, together with the Draft Recommendation on the Status and Remuneration of members of the Enlarged Board of Appeal and of the Boards of Appeal appointed during a transitional period.

The importance of these Articles as regards the operation of the European Patents Organisation cannot fail to be apparent. On the other hand it is not so easy to acquire a full awareness of the extent and complexity of the preparatory work which they have necessitated. It has been necessary to ascertain that the proposed financial arrangements would be workable in a satisfactory manner and, for this purpose, to ascertain the long-term budget prospects. This concern led to a consideration, on the expenditure side, of staffing requirements and staff remuneration, supplies of material and equipment, reimbursement of sums paid in by the Contracting States during the initial years; and on the revenue side, the fees charged directly by the European Patents Office during the procedure of granting patents and sums paid in by Contracting States, either definitively in the case of the levy on the national fees for maintaining in force European patents granted in these States, or in the form of loans in the case of what are termed "special" contributions. It was inevitable of course that during the first ten years the latter contributions are likely to be the rule rather than the exception, to enable the European system for the grant of patents to get under way. However, the preparatory work to which it seemed useful to refer in this report has shown that it was probable, if not possible, that by the end of its tenth year, the European Patent Office would be in a position to balance its budget with its own resources - a factor which forms the underlying principle of the financial arrangements submitted to the Munich Diplomatic Conference for approval. 2. A number of proposals were submitted by national delegations for amendments to 7 of the 20 Articles of the Draft Convention which cover the financial provisions. Following the discussions of Main Committee III, 9 Articles were slightly amended; there were no really substantial amendments. 3. Among the Articles to which attention should be drawn there is, first and foremost, Article 38 concerning special financial contributions from the Contracting States. Paragraph 3 of this Article lays down the financial contributions from the States on the basis of the number of patent applications filed in the last year but one prior to that of entry into force of the Convention, calculated as follows: one half in proportion to the number of patent applications filed in the Contracting State concerned; and the other half in proportion to the second highest number of patent applications filed in the other Contracting States by natural or legal persons in that State.

The first number measures the volume of patent-grant activity by the national industrial property service of each Contracting State; this activity, which is the source of expenditure at the national level, should be reduced in proportion to the success of the European system. The second number reflects the work load which will be imposed directly upon the European Patent Office by the national offices of each Contracting State.

A proposal was made to amend the percentages as formulated above, by reducing the first percentage from 50 to 25 % and increasing the second from 50 to 75 %.

Having referred to the calculations made in the course of the preparatory work, indicating the contributions of each of the Contracting States under both systems, Main Committee II considered, by a majority, that the existing text of Article 38, paragraph 3, was more equitable and should be retained, subject to a few drafting improvements. 4. Paragraph 4 of the same Article in the 1972 published text provides that, when determining the special contributions of the Contracting States, as recalled above, international applications filed pursuant to the Patent Cooperation Treaty (PCT) which designate a Contracting State are to be regarded as applications filed in that State. It is already known that these contributions are determined on the basis of the number of patent applications filed in the last year but one prior to that of entry into force of the Convention. One national delegation pointed out that, if it were generally agreed that the Convention would enter into force in 1976 or 1977, the reference year for determining the contributions would be 1974 or 1975. The PCT would probably not have entered into force by that time, at least for the States which are parties to the European Convention, particularly since the Member States of the European Economic Community have announced that they will not ratify the PCT before the Convention on the Grant of European Patents. Thus, Article 38, paragraph 4, would have no effect and could therefore be deleted. However, after making this deletion, Main Committee III agreed unanimously that if in respect of some States which are parties to the European Convention the PCT entered into force two years before the former, international applications having effect in those States would as a matter of course be regarded as national applications. 5. If the budget has not been adopted at the beginning of the accounting period, the President of the European Patent Office is authorised, under Article 45, paragraph 1, to effect expenditures on a monthly basis per heading or other division of the budget, up to one-twelfth of the budget appropriations for the preceding accounting period, provided that these appropriations shall not exceed one-twelfth of those provided for in the draft budget.

Paragraph 2 of the same Article provides that the Administrative Council may, subject to the observance of the other conditions laid down in paragraph 1, authorise expenditure in excess of one-twelfth of the appropriations.

Following a proposal from a national delegation, the question was raised whether the one-twelfth referred to in paragraph 2 was one-twelfth of the appropriations of the preceding accounting period or one-twelfth of those of the draft budget, or of either, depending on the situations with which the Administrative Council was presented.

Main Committee III considered that the text of paragraphs 1 and 2 should not be amended and that the limit of one-twelfth of the appropriations for the preceding accounting period would have to be complied with, whereas the limit on one-twelfth of the appropriations provided for in the draft budget could be exceeded, on authorisation by the Administrative Council. 6. Article 47, paragraph 4, was amended to specify that the Administrative Council must approve the annual accounts and the report of the auditors.