KanzlAI-mGMT/docs/research/upc-fee-structure.md

# UPC Fee Structure Research

> Research date: 2026-03-31
> Status: Complete (pre-2026 tables verified from official sources; 2026 amendments documented with confirmed changes)
> Purpose: Data for implementing a patent litigation cost calculator

## Overview

The UPC fee system consists of:
1. **Fixed fees** (always due, depend on action type)
2. **Value-based fees** (additional, for infringement-type actions with value > EUR 500,000)
3. **Recoverable costs ceilings** (caps on lawyer fees the losing party must reimburse)

Legal basis: Rule 370 RoP (court fees), Rule 152 RoP (recoverable costs), Art. 69 UPCA (cost allocation).

---

## 1. Fixed Court Fees (Court of First Instance)

### Pre-2026 Schedule (actions filed before 1 Jan 2026)

| Action Type | Fixed Fee |
|---|---|
| Infringement action | EUR 11,000 |
| Counterclaim for infringement | EUR 11,000 |
| Declaration of non-infringement | EUR 11,000 |
| Compensation for license of right | EUR 11,000 |
| Application to determine damages | EUR 3,000 |
| **Standalone revocation action** | **EUR 20,000** (flat, no value-based fee) |
| **Counterclaim for revocation** | **EUR 20,000** (flat, no value-based fee) |
| Application for provisional measures | EUR 11,000 |
| Order to preserve evidence | EUR 350 |
| Order for inspection | EUR 350 |
| Order to freeze assets | EUR 1,000 |
| Protective letter filing | EUR 200 |
| Protective letter extension (per 6 months) | EUR 100 |
| Action against EPO decision | EUR 1,000 |
| Re-establishment of rights | EUR 350 |
| Review case management order | EUR 300 |
| Set aside decision by default | EUR 1,000 |

### 2026 Schedule (actions filed from 1 Jan 2026)

~33% increase across the board:

| Action Type | Old Fee | New Fee (2026) | Change |
|---|---|---|---|
| Infringement action | EUR 11,000 | **EUR 14,600** | +33% |
| Counterclaim for infringement | EUR 11,000 | **EUR 14,600** | +33% |
| Declaration of non-infringement | EUR 11,000 | **EUR 14,600** | +33% |
| Standalone revocation action | EUR 20,000 | **EUR 26,500** | +33% |
| Counterclaim for revocation | EUR 20,000 | **EUR 26,500** | +33% |
| Application for provisional measures | EUR 11,000 | **EUR 14,600** | +33% |
| Application to determine damages | EUR 3,000 | **EUR 4,000** | +33% |
| Order to preserve evidence | EUR 350 | **EUR 5,000** | +1,329% |
| Order for inspection | EUR 350 | **EUR 5,000** | +1,329% |
| Order to freeze assets | EUR 1,000 | **EUR 5,000** | +400% |
| Protective letter filing | EUR 200 | **EUR 300** | +50% |
| Protective letter extension | EUR 100 | **EUR 130** | +30% |
| Application for rehearing | EUR 2,500 | **EUR 14,600** | +484% |

**Key 2026 change**: Provisional measures now also have a **value-based fee** (new). The value is deemed to be 2/3 of the value of the merits proceedings.

---

## 2. Value-Based Fees (Additional to Fixed Fee)

Applies to: infringement actions, counterclaim for infringement, declaration of non-infringement, compensation for license of right, application to determine damages.

Does NOT apply to: revocation actions (standalone or counterclaim) -- these are flat fee only.

### Pre-2026 Value-Based Fee Table

| Value of the Action | Additional Value-Based Fee |
|---|---|
| <= EUR 500,000 | EUR 0 |
| <= EUR 750,000 | EUR 2,500 |
| <= EUR 1,000,000 | EUR 4,000 |
| <= EUR 1,500,000 | EUR 8,000 |
| <= EUR 2,000,000 | EUR 13,000 |
| <= EUR 3,000,000 | EUR 20,000 |
| <= EUR 4,000,000 | EUR 26,000 |
| <= EUR 5,000,000 | EUR 32,000 |
| <= EUR 6,000,000 | EUR 39,000 |
| <= EUR 7,000,000 | EUR 46,000 |
| <= EUR 8,000,000 | EUR 52,000 |
| <= EUR 9,000,000 | EUR 58,000 |
| <= EUR 10,000,000 | EUR 65,000 |
| <= EUR 15,000,000 | EUR 75,000 |
| <= EUR 20,000,000 | EUR 100,000 |
| <= EUR 25,000,000 | EUR 125,000 |
| <= EUR 30,000,000 | EUR 150,000 |
| <= EUR 50,000,000 | EUR 250,000 |
| > EUR 50,000,000 | EUR 325,000 |

Source: Maiwald MAIinsight April 2025 (verified against commentedupc.com and official UPC fee table AC/05/08072022).

### 2026 Value-Based Fee Table (estimated)

The 2026 amendment increases value-based fees by ~32% at first instance and ~45% on appeal. Applying the 32% increase:

| Value of the Action | Old Fee | New Fee (est. ~32%) |
|---|---|---|
| <= EUR 500,000 | EUR 0 | EUR 0 |
| <= EUR 750,000 | EUR 2,500 | ~EUR 3,300 |
| <= EUR 1,000,000 | EUR 4,000 | ~EUR 5,300 |
| <= EUR 1,500,000 | EUR 8,000 | ~EUR 10,600 |
| <= EUR 2,000,000 | EUR 13,000 | ~EUR 17,200 |
| <= EUR 3,000,000 | EUR 20,000 | ~EUR 26,400 |
| <= EUR 5,000,000 | EUR 32,000 | ~EUR 42,200 |
| <= EUR 10,000,000 | EUR 65,000 | ~EUR 85,800 |
| <= EUR 30,000,000 | EUR 150,000 | ~EUR 198,000 |
| <= EUR 50,000,000 | EUR 250,000 | ~EUR 330,000 |
| > EUR 50,000,000 | EUR 325,000 | ~EUR 429,000 |

**Note**: The official consolidated 2026 fee table PDF was not extractable (403 on UPC website). The Maiwald blog confirms: for a dispute valued at EUR 5M, total court fees (fixed + value-based) went from EUR 43,000 to EUR 44,600, suggesting the 2026 value-based fee for <=5M is EUR 30,000 (i.e., 14,600 + 30,000 = 44,600). This is close to the ~32% estimate. When the exact 2026 table becomes available, these estimates should be replaced.

**Verified 2026 data point** (Secerna): For a typical infringement action valued at EUR 2,000,000, total court fees increase from EUR 24,000 to EUR 31,800. This means: new value-based fee for <=2M = 31,800 - 14,600 = EUR 17,200 (vs. old: 13,000 + 11,000 = 24,000).

---

## 3. Appeal Fees (Court of Appeal)

### Pre-2026

| Appeal Type | Fixed Fee | Value-Based Fee |
|---|---|---|
| Appeal on infringement action | EUR 11,000 | Same table as CFI |
| Appeal on counterclaim for infringement | EUR 11,000 | Same table as CFI |
| Appeal on non-infringement declaration | EUR 11,000 | Same table as CFI |
| Appeal on license compensation | EUR 11,000 | Same table as CFI |
| Appeal on damages determination | EUR 3,000 | Same table as CFI |
| Appeal on revocation action | EUR 20,000 | None |
| Appeal on counterclaim for revocation | Same as first instance | None |
| Appeal on provisional measures | EUR 11,000 | None |
| Appeal on other interlocutory orders | EUR 3,000 | None |
| Application for rehearing | EUR 2,500 | None |
| Appeal on cost decision | EUR 3,000 | None |
| Leave to appeal costs | EUR 1,500 | None |
| Discretionary review request | EUR 350 | None |

### 2026 Appeal Changes

- Fixed fees: ~33% increase (same as CFI)
- Value-based fees: ~45% increase (10% more than CFI increase)
- Revocation appeal: EUR 20,000 -> EUR 29,200 (+46%)
- Rehearing application: EUR 2,500 -> EUR 14,600 (+484%)

---

## 4. Recoverable Costs (Attorney Fee Ceilings)

Per Rule 152(2) RoP and the Administrative Committee's Scale of Ceilings. These are caps on what the winning party can recover from the losing party for legal representation costs. Apply **per instance**.

| Value of the Proceedings | Ceiling for Recoverable Costs |
|---|---|
| <= EUR 250,000 | EUR 38,000 |
| <= EUR 500,000 | EUR 56,000 |
| <= EUR 1,000,000 | EUR 112,000 |
| <= EUR 2,000,000 | EUR 200,000 |
| <= EUR 4,000,000 | EUR 400,000 |
| <= EUR 8,000,000 | EUR 600,000 |
| <= EUR 16,000,000 | EUR 800,000 |
| <= EUR 30,000,000 | EUR 1,200,000 |
| <= EUR 50,000,000 | EUR 1,500,000 |
| > EUR 50,000,000 | EUR 2,000,000 |

### Ceiling Adjustments

The court may **raise** the ceiling upon party request:
- Up to **50% increase** for cases valued up to EUR 1 million
- Up to **25% increase** for cases valued EUR 1-50 million
- Up to an **absolute cap of EUR 5 million** for cases valued above EUR 50 million

The court may **lower** the ceiling if it would threaten the economic existence of a party (SMEs, non-profits, universities, individuals).

### What is recoverable

- Lawyer fees (Rechtsanwalt)
- Patent attorney fees (Patentanwalt)
- Expert fees
- Witness costs
- Interpreter and translator fees
- Note: Expert/translator/witness fees are NOT subject to the ceiling -- they must be reasonable but are recoverable on top of the ceiling

---

## 5. SME / Micro-Enterprise Reductions

### Pre-2026
- Small and micro enterprises: **40% reduction** on all court fees (pay 60%)
- Conditions per Rule 370(8) RoP

### 2026
- Increased to **50% reduction** (pay 50%)

### Legal Aid
- Available in principle under Rule 375 et seq. RoP

---

## 6. Comparison: UPC vs. German National Courts

### German Court Fee Calculation (GKG)

German court fees are calculated using **Anlage 2 zu § 34 GKG**:
- Fee table covers Streitwert up to EUR 500,000 (base fee at 500k: EUR 4,138)
- Above EUR 500,000: fee increases by **EUR 210 per each additional EUR 50,000**
- This gives a "simple fee" (einfache Gebuehr)
- Actual court fees = simple fee x multiplier from Kostenverzeichnis

**Multipliers** for patent cases:
- LG infringement, 1st instance: **3.0x** simple fee
- OLG appeal (Berufung): **4.0x** simple fee
- BPatG nullity, 1st instance: **4.5x** simple fee (separate proceedings!)
- BGH nullity appeal: **6.0x** simple fee

### GKG Simple Fee Calculation for Key Streitwerte

Formula for Streitwert > 500,000: `4,138 + ceil((Streitwert - 500,000) / 50,000) * 210`

| Streitwert | Simple Fee | LG 1st (3.0x) | OLG Appeal (4.0x) |
|---|---|---|---|
| EUR 500,000 | EUR 4,138 | EUR 12,414 | EUR 16,552 |
| EUR 1,000,000 | EUR 6,238 | EUR 18,714 | EUR 24,952 |
| EUR 2,000,000 | EUR 10,438 | EUR 31,314 | EUR 41,752 |
| EUR 3,000,000 | EUR 14,638 | EUR 43,914 | EUR 58,552 |
| EUR 5,000,000 | EUR 23,038 | EUR 69,114 | EUR 92,152 |
| EUR 10,000,000 | EUR 44,038 | EUR 132,114 | EUR 176,152 |
| EUR 30,000,000 | EUR 128,038 | EUR 384,114 | EUR 512,152 |
| EUR 50,000,000 | EUR 212,038 | EUR 636,114 | EUR 848,152 |

Note: GKG was updated effective 01.06.2025 -- the increment changed from EUR 198 to EUR 210 per 50k.

### German Attorney Fees (RVG)

RVG fees use the same Streitwert table (§ 13 RVG with Anlage 2 GKG) but with their own multipliers:
- Verfahrensgebuehr (procedural fee): 1.3x
- Terminsgebuehr (hearing fee): 1.2x
- Einigungsgebuehr (settlement fee): 1.0x (if applicable)
- Patent attorney (Patentanwalt) adds same fees again

Recoverable costs in Germany = court fees + 1 Rechtsanwalt (RVG) + 1 Patentanwalt (RVG).

### Side-by-Side Comparison

#### Example: Infringement action, Streitwert EUR 1,000,000

| Cost Component | UPC (pre-2026) | UPC (2026) | Germany LG |
|---|---|---|---|
| Court fees | EUR 15,000 | ~EUR 19,900 | EUR 18,714 |
| Max recoverable attorney costs | EUR 112,000 | EUR 112,000 | ~EUR 30,000* |
| **Total cost risk (loser)** | **~EUR 127,000** | **~EUR 131,900** | **~EUR 48,714** |

#### Example: Infringement action, Streitwert EUR 3,000,000

| Cost Component | UPC (pre-2026) | UPC (2026) | Germany LG |
|---|---|---|---|
| Court fees | EUR 31,000 | ~EUR 41,000 | EUR 43,914 |
| Max recoverable attorney costs | EUR 400,000 | EUR 400,000 | ~EUR 100,388** |
| **Total cost risk (loser)** | **~EUR 431,000** | **~EUR 441,000** | **~EUR 144,302** |

*German RVG: 1x RA (1.3 VG + 1.2 TG) + 1x PA (same) + Auslagenpauschale + USt on Streitwert EUR 1M
**Maiwald comparison figure for EUR 3M (1x PA + 1x RA, including court fees, based on RVG)

#### Example: Infringement action, Streitwert EUR 10,000,000

| Cost Component | UPC (pre-2026) | UPC (2026) | Germany LG |
|---|---|---|---|
| Court fees | EUR 76,000 | ~EUR 100,400 | EUR 132,114 |
| Max recoverable attorney costs | EUR 600,000 | EUR 600,000 | ~EUR 222,000 |
| **Total cost risk (loser)** | **~EUR 676,000** | **~EUR 700,400** | **~EUR 354,114** |

### Key Insight

- **Court fees**: German courts are **more expensive** than UPC for court fees alone at moderate Streitwerte (EUR 1-5M). At very high Streitwerte (EUR 10M+), German courts become more expensive still.
- **Recoverable attorney costs**: UPC is **dramatically more expensive** -- ceilings are 3-5x higher than German RVG-based costs.
- **Total cost risk**: UPC total exposure is typically **2-3x German courts** for the same Streitwert, primarily driven by the high attorney cost ceilings.
- **Territorial scope**: UPC covers multiple countries in one action, so the higher cost may be justified by the broader geographic effect compared to a single German LG action.

---

## 7. Implementation Notes for Calculator

### Data structures needed

```typescript
// Value-based fee brackets (UPC)
interface FeeBracket {
  maxValue: number;  // upper bound of bracket (Infinity for last)
  fee: number;       // EUR amount
}

// Pre-2026 brackets
const upcValueFees2025: FeeBracket[] = [
  { maxValue: 500_000, fee: 0 },
  { maxValue: 750_000, fee: 2_500 },
  { maxValue: 1_000_000, fee: 4_000 },
  { maxValue: 1_500_000, fee: 8_000 },
  { maxValue: 2_000_000, fee: 13_000 },
  { maxValue: 3_000_000, fee: 20_000 },
  { maxValue: 4_000_000, fee: 26_000 },
  { maxValue: 5_000_000, fee: 32_000 },
  { maxValue: 6_000_000, fee: 39_000 },
  { maxValue: 7_000_000, fee: 46_000 },
  { maxValue: 8_000_000, fee: 52_000 },
  { maxValue: 9_000_000, fee: 58_000 },
  { maxValue: 10_000_000, fee: 65_000 },
  { maxValue: 15_000_000, fee: 75_000 },
  { maxValue: 20_000_000, fee: 100_000 },
  { maxValue: 25_000_000, fee: 125_000 },
  { maxValue: 30_000_000, fee: 150_000 },
  { maxValue: 50_000_000, fee: 250_000 },
  { maxValue: Infinity, fee: 325_000 },
];

// Recoverable costs ceilings
const upcRecoverableCosts: FeeBracket[] = [
  { maxValue: 250_000, fee: 38_000 },
  { maxValue: 500_000, fee: 56_000 },
  { maxValue: 1_000_000, fee: 112_000 },
  { maxValue: 2_000_000, fee: 200_000 },
  { maxValue: 4_000_000, fee: 400_000 },
  { maxValue: 8_000_000, fee: 600_000 },
  { maxValue: 16_000_000, fee: 800_000 },
  { maxValue: 30_000_000, fee: 1_200_000 },
  { maxValue: 50_000_000, fee: 1_500_000 },
  { maxValue: Infinity, fee: 2_000_000 },
];

// German GKG simple fee calculation
function gkgSimpleFee(streitwert: number): number {
  if (streitwert <= 500_000) {
    // Use lookup table from Anlage 2 GKG
    return gkgLookupTable(streitwert);
  }
  // Above 500k: base + 210 EUR per 50k increment
  const base = 4_138; // simple fee at 500k (as of 2025-06-01)
  const excess = streitwert - 500_000;
  const increments = Math.ceil(excess / 50_000);
  return base + increments * 210;
}

// German court fee = simple fee * multiplier
// LG 1st instance infringement: 3.0x
// OLG appeal: 4.0x
// BPatG nullity 1st: 4.5x
// BGH nullity appeal: 6.0x
```

### Fixed fees by action type (for calculator dropdown)

```typescript
type ActionType =
  | 'infringement'
  | 'counterclaim_infringement'
  | 'non_infringement'
  | 'license_compensation'
  | 'determine_damages'
  | 'revocation_standalone'
  | 'counterclaim_revocation'
  | 'provisional_measures'
  | 'preserve_evidence'
  | 'inspection_order'
  | 'freeze_assets'
  | 'protective_letter'
  | 'protective_letter_extension';

interface ActionFees {
  fixedFee2025: number;
  fixedFee2026: number;
  hasValueBasedFee: boolean;
  hasValueBasedFee2026: boolean; // provisional measures gained value-based in 2026
}
```

---

## Sources

- Maiwald MAIinsight Issue No. 2, April 2025: "Court fees and recoverable costs at the UPC" (PDF, authoritative practitioner analysis)
- UPC Official Table of Court Fees: AC/05/08072022 (original schedule)
- UPC Administrative Committee amendment decision, 4 Nov 2025 (2026 changes)
- commentedupc.com/table-of-court-fees/ (complete pre-2026 table)
- Scale of Ceilings for Recoverable Costs: D-AC/10/24042023
- GKG Anlage 2 zu § 34 (German court fee table, as of 01.06.2025)
- Secerna: "Major Financial Overhaul: Significant UPC Fee Increase" (2026 data points)
- Casalonga: "Unified Patent Court: Significant Increase in Court Costs in 2026"
- Bird & Bird: "Unified Patent Court Fees increase from 1 January 2026"
- Vossius: "Costs and Cost Risk in UPC Proceedings"
- Haug Partners: "A U.S. View on the UPC -- Part 5: Of Costs and Fees"