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Electronic Code of Federal Regulations

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e-CFR Data is current as of July 22, 2014

TITLE 37—Patents, Trademarks, and Copyrights

CHAPTER I—UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE

SUBCHAPTER A—GENERAL

PART 1—RULES OF PRACTICE IN PATENT CASES

rule

Subpart A—GENERAL PROVISIONS

General Information and Correspondence

§1.1
Addresses for non-trademark correspondence with the United States Patent and Trademark Office.
§1.2
Business to be transacted in writing.
§1.3
Business to be conducted with decorum and courtesy.
§1.4
Nature of correspondence and signature requirements.
§1.5
Identification of patent, patent application, or patent-related proceeding.
§1.6
Receipt of correspondence.
§1.7
Times for taking action; Expiration on Saturday, Sunday or Federal holiday.
§1.8
Certificate of mailing or transmission.
§1.9
Definitions.
§1.10
Filing of correspondence by “Express Mail.”

Records and Files of the Patent and Trademark Office

§1.11
Files open to the public.
§1.12
Assignment records open to public inspection.
§1.13
Copies and certified copies.
§1.14
Patent applications preserved in confidence.
§1.15
[Reserved]

Fees and Payment of Money

§1.16
National application filing, search, and examination fees.
§1.17
Patent application and reexamination processing fees.
§1.18
Patent post allowance (including issue) fees.
§1.19
Document supply fees.
§1.20
Post issuance fees.
§1.21
Miscellaneous fees and charges.
§1.22
Fees payable in advance.
§1.23
Methods of payment.
§1.24
[Reserved]
§1.25
Deposit accounts.
§1.26
Refunds.
§1.27
Definition of small entities and establishing status as a small entity to permit payment of small entity fees; when a determination of entitlement to small entity status and notification of loss of entitlement to small entity status are required; fraud on the Office.
§1.28
Refunds when small entity status is later established; how errors in small entity status are excused.
§1.29
Micro entity status.
rule

Subpart B—NATIONAL PROCESSING PROVISIONS

Prosecution of Application and Appointment of Attorney or Agent

§1.31
Applicant may be represented by one or more patent practitioners or joint inventors.
§1.32
Power of attorney.
§1.33
Correspondence respecting patent applications, patent reexamination proceedings, and other proceedings.
§1.34
Acting in a representative capacity.
§1.36
Revocation of power of attorney; withdrawal of patent attorney or agent.

Who May Apply for a Patent

§1.41
Inventorship.
§1.42
Applicant for patent.
§1.43
Application for patent by a legal representative of a deceased or legally incapacitated inventor.
§1.44
[Reserved]
§1.45
Application for patent by joint inventors.
§1.46
Application for patent by an assignee, obligated assignee, or a person who otherwise shows sufficient proprietary interest in the matter.
§1.47
[Reserved]
§1.48
Correction of inventorship pursuant to 35 U.S.C. 116 or correction of the name or order of names in a patent application, other than a reissue application.

The Application

§1.51
General requisites of an application.
§1.52
Language, paper, writing, margins, compact disc specifications.
§1.53
Application number, filing date, and completion of application.
§1.54
Parts of application to be filed together; filing receipt.
§1.55
Claim for foreign priority.
§1.56
Duty to disclose information material to patentability.
§1.57
Incorporation by reference.
§1.58
Chemical and mathematical formulae and tables.
§1.59
Expungement of information or copy of papers in application file.
§§1.60-1.62
[Reserved]

Oath or Declaration

§1.63
Inventor's oath or declaration.
§1.64
Substitute statement in lieu of an oath or declaration.
§1.66
Statements under oath.
§1.67
Supplemental oath or declaration.
§1.68
Declaration in lieu of oath.
§1.69
Foreign language oaths and declarations.
§1.70
[Reserved]

Specification

§1.71
Detailed description and specification of the invention.
§1.72
Title and abstract.
§1.73
Summary of the invention.
§1.74
Reference to drawings.
§1.75
Claim(s).
§1.76
Application data sheet.
§1.77
Arrangement of application elements.
§1.78
Claiming benefit of earlier filing date and cross-references to other applications.
§1.79
Reservation clauses not permitted.

The Drawings

§1.81
Drawings required in patent application.
§1.83
Content of drawing.
§1.84
Standards for drawings.
§1.85
Corrections to drawings.
§1.88
[Reserved]

Models, Exhibits, Specimens

§1.91
Models or exhibits not generally admitted as part of application or patent.
§1.92
[Reserved]
§1.93
Specimens.
§1.94
Return of models, exhibits or specimens.
§1.95
Copies of exhibits.
§1.96
Submission of computer program listings.

Information Disclosure Statement

§1.97
Filing of information disclosure statement.
§1.98
Content of information disclosure statement.
§1.99
[Reserved]

Examination of Applications

§1.101
[Reserved]
§1.102
Advancement of examination.
§1.103
Suspension of action by the Office.
§1.104
Nature of examination.
§1.105
Requirements for information.
§§1.106-1.108
[Reserved]
§1.109
Effective filing date of a claimed invention under the Leahy-Smith America Invents Act.
§1.110
Inventorship and ownership of the subject matter of individual claims.

Action by Applicant and Further Consideration

§1.111
Reply by applicant or patent owner to a non-final Office action.
§1.112
Reconsideration before final action.
§1.113
Final rejection or action.
§1.114
Request for continued examination.

Amendments

§1.115
Preliminary amendments.
§1.116
Amendments and affidavits or other evidence after final action and prior to appeal.
§§1.117-1.119
[Reserved]
§1.121
Manner of making amendments in applications.
§§1.122-1.224
[Reserved]
§1.125
Substitute specification.
§1.126
Numbering of claims.
§1.127
Petition from refusal to admit amendment.

Transitional Provisions

§1.129
Transitional procedures for limited examination after final rejection and restriction practice.

Affidavits Overcoming Rejections

§1.130
Affidavit or declaration of attribution or prior public disclosure under the Leahy-Smith America Invents Act.
§1.131
Affidavit or declaration of prior invention or to disqualify commonly owned patent or published application as prior art.
§1.132
Affidavits or declarations traversing rejections or objections.

Interviews

§1.133
Interviews.

Time for Reply by Applicant; Abandonment of Application

§1.134
Time period for reply to an Office action.
§1.135
Abandonment for failure to reply within time period.
§1.136
Extensions of time.
§1.137
Revival of abandoned application, or terminated or limited reexamination prosecution.
§1.138
Express abandonment.
§1.139
[Reserved]

Joinder of Inventions in One Application; Restriction

§1.141
Different inventions in one national application.
§1.142
Requirement for restriction.
§1.143
Reconsideration of requirement.
§1.144
Petition from requirement for restriction.
§1.145
Subsequent presentation of claims for different invention.
§1.146
Election of species.

Design Patents

§1.151
Rules applicable.
§1.152
Design drawings.
§1.153
Title, description and claim, oath or declaration.
§1.154
Arrangement of application elements in a design application.
§1.155
Expedited examination of design applications.

Plant Patents

§1.161
Rules applicable.
§1.162
Applicant, oath or declaration.
§1.163
Specification and arrangement of application elements in a plant application.
§1.164
Claim.
§1.165
Plant drawings.
§1.166
Specimens.
§1.167
Examination.

Reissues

§1.171
Application for reissue.
§1.172
Reissue applicant.
§1.173
Reissue specification, drawings, and amendments.
§1.174
[Reserved]
§1.175
Inventor's oath or declaration for a reissue application.
§1.176
Examination of reissue.
§1.177
Issuance of multiple reissue patents.
§1.178
Original patent; continuing duty of applicant.
§1.179
[Reserved]

Petitions and Action by the Director

§1.181
Petition to the Director.
§1.182
Questions not specifically provided for.
§1.183
Suspension of rules.
§1.184
[Reserved]

Appeal to the Patent Trial and Appeal Board

§1.191
Appeal to Patent Trial and Appeal Board.
§§1.192-1.196
[Reserved]
§1.197
Termination of proceedings.
§1.198
Reopening after a final decision of the Patent Trial and Appeal Board.

Publication of Applications

§1.211
Publication of applications.
§1.213
Nonpublication request.
§1.215
Patent application publication.
§1.217
Publication of a redacted copy of an application.
§1.219
Early publication.
§1.221
Voluntary publication or republication of patent application publication.

Miscellaneous Provisions

§1.248
Service of papers; manner of service; proof of service in cases other than interferences and trials.
§1.251
Unlocatable file.

Preissuance Submissions and Protests by Third Parties

§1.290
Submissions by third parties in applications.
§1.291
Protests by the public against pending applications.
§§1.292-1.297
[Reserved]

Review of Patent and Trademark Office Decisions by Court

§§1.301-1.304
[Reserved]

Allowance and Issue of Patent

§1.311
Notice of allowance.
§1.312
Amendments after allowance.
§1.313
Withdrawal from issue.
§1.314
Issuance of patent.
§1.315
Delivery of patent.
§1.316
Application abandoned for failure to pay issue fee.
§§1.317-1.318
[Reserved]

Disclaimer

§1.321
Statutory disclaimers, including terminal disclaimers.

Correction of Errors in Patent

§1.322
Certificate of correction of Office mistake.
§1.323
Certificate of correction of applicant's mistake.
§1.324
Correction of inventorship in patent, pursuant to 35 U.S.C. 256.
§1.325
Other mistakes not corrected.

Arbitration Awards

§§1.331-1.334
[Reserved]
§1.335
Filing of notice of arbitration awards.

Amendment of Rules

§1.351
Amendments to rules will be published.
§1.352
[Reserved]

Maintenance Fees

§1.362
Time for payment of maintenance fees.
§1.363
Fee address for maintenance fee purposes.
§1.366
Submission of maintenance fees.
§1.377
Review of decision refusing to accept and record payment of a maintenance fee filed prior to expiration of patent.
§1.378
Acceptance of delayed payment of maintenance fee in expired patent to reinstate patent.
rule

Subpart C—INTERNATIONAL PROCESSING PROVISIONS

General Information

§1.401
Definitions of terms under the Patent Cooperation Treaty.
§1.412
The United States Receiving Office.
§1.413
The United States International Searching Authority.
§1.414
The United States Patent and Trademark Office as a Designated Office or Elected Office.
§1.415
The International Bureau.
§1.416
The United States International Preliminary Examining Authority.
§1.417
Submission of translation of international publication.
§1.419
Display of currently valid control number under the Paperwork Reduction Act.

Who May File an International Application

§1.421
Applicant for international application.
§1.422
Legal representative as applicant in an international application.
§1.423
[Reserved]
§1.424
Assignee, obligated assignee, or person having sufficient proprietary interest as applicant in an international application.

The International Application

§1.431
International application requirements.
§1.432
Designation of States by filing an international application.
§1.433
Physical requirements of international application.
§1.434
The request.
§1.435
The description.
§1.436
The claims.
§1.437
The drawings.
§1.438
The abstract.

Fees

§1.445
International application filing, processing and search fees.
§1.446
Refund of international application filing and processing fees.

Priority

§1.451
The priority claim and priority document in an international application.
§1.452
Restoration of right of priority.

Representation

§1.455
Representation in international applications.

Transmittal of Record Copy

§1.461
Procedures for transmittal of record copy to the International Bureau.

Timing

§1.465
Timing of application processing based on the priority date.
§1.468
Delays in meeting time limits.

Amendments

§1.471
Corrections and amendments during international processing.
§1.472
Changes in person, name, or address of applicants and inventors.

Unity of Invention

§1.475
Unity of invention before the International Searching Authority, the International Preliminary Examining Authority and during the national stage.
§1.476
Determination of unity of invention before the International Searching Authority.
§1.477
Protest to lack of unity of invention before the International Searching Authority.

International Preliminary Examination

§1.480
Demand for international preliminary examination.
§1.481
Payment of international preliminary examination fees.
§1.482
International preliminary examination fees.
§1.484
Conduct of international preliminary examination.
§1.485
Amendments by applicant during international preliminary examination.
§1.488
Determination of unity of invention before the International Preliminary Examining Authority.
§1.489
Protest to lack of unity of invention before the International Preliminary Examining Authority.

National Stage

§1.491
National stage commencement, entry, and fulfillment.
§1.492
National stage fees.
§1.495
Entering the national stage in the United States of America.
§1.496
Examination of international applications in the national stage.
§1.497
Inventor's oath or declaration under 35 U.S.C. 371(c)(4).
§1.499
Unity of invention during the national stage.
rule

Subpart D—EX PARTE REEXAMINATION OF PATENTS

Citation of Prior Art and Written Statements

§1.501
Citation of prior art and written statements in patent files.
§1.502
Processing of prior art citations during an ex parte reexamination proceeding.

Request for Ex Parte Reexamination

§1.510
Request for ex parte reexamination.
§1.515
Determination of the request for ex parte reexamination.
§1.520
Ex parte reexamination at the initiative of the Director.

Ex Parte Reexamination

§1.525
Order for ex parte reexamination.
§1.530
Statement by patent owner in ex parte reexamination; amendment by patent owner in ex parte or inter partes reexamination; inventorship change in ex parte or inter partes reexamination.
§1.535
Reply by third party requester in ex parte reexamination.
§1.540
Consideration of responses in ex parte reexamination.
§1.550
Conduct of ex parte reexamination proceedings.
§1.552
Scope of reexamination in ex parte reexamination proceedings.
§1.555
Information material to patentability in ex parte reexamination and inter partes reexamination proceedings.
§1.560
Interviews in ex parte reexamination proceedings.
§1.565
Concurrent office proceedings which include an ex parte reexamination proceeding.

Ex Parte Reexamination Certificate

§1.570
Issuance and publication of ex parte reexamination certificate concludes ex parte reexamination proceeding.
rule

Subpart E—SUPPLEMENTAL EXAMINATION OF PATENTS

§1.601
Filing of papers in supplemental examination.
§1.605
Items of information.
§1.610
Content of request for supplemental examination.
§1.615
Format of papers filed in a supplemental examination proceeding.
§1.620
Conduct of supplemental examination proceeding.
§1.625
Conclusion of supplemental examination; publication of supplemental examination certificate; procedure after conclusion.
   
         
rule

Subpart F—ADJUSTMENT AND EXTENSION OF PATENT TERM

Adjustment of Patent Term Due to Examination Delay

§1.701
Extension of patent term due to examination delay under the Uruguay Round Agreements Act (original applications, other than designs, filed on or after June 8, 1995, and before May 29, 2000).
§1.702
Grounds for adjustment of patent term due to examination delay under the Patent Term Guarantee Act of 1999 (original applications, other than designs, filed on or after May 29, 2000).
§1.703
Period of adjustment of patent term due to examination delay.
§1.704
Reduction of period of adjustment of patent term.
§1.705
Patent term adjustment determination.

Extension of Patent Term Due to Regulatory Review

§1.710
Patents subject to extension of the patent term.
§1.720
Conditions for extension of patent term.
§1.730
Applicant for extension of patent term; signature requirements.
§1.740
Formal requirements for application for extension of patent term; correction of informalities.
§1.741
Complete application given a filing date; petition procedure.
§1.750
Determination of eligibility for extension of patent term.
§1.760
Interim extension of patent term under 35 U.S.C. 156(e)(2).
§1.765
Duty of disclosure in patent term extension proceedings.
§1.770
Express withdrawal of application for extension of patent term.
§1.775
Calculation of patent term extension for a human drug, antibiotic drug or human biological product.
§1.776
Calculation of patent term extension for a food additive or color additive.
§1.777
Calculation of patent term extension for a medical device.
§1.778
Calculation of patent term extension for an animal drug product.
§1.779
Calculation of patent term extension for a veterinary biological product.
§1.780
Certificate or order of extension of patent term.
§1.785
Multiple applications for extension of term of the same patent or of different patents for the same regulatory review period for a product.
§1.790
Interim extension of patent term under 35 U.S.C. 156(d)(5).
§1.791
Termination of interim extension granted prior to regulatory approval of a product for commercial marketing or use.
rule

Subpart G—BIOTECHNOLOGY INVENTION DISCLOSURES

Deposit of Biological Material

§1.801
Biological material.
§1.802
Need or opportunity to make a deposit.
§1.803
Acceptable depository.
§1.804
Time of making an original deposit.
§1.805
Replacement or supplement of deposit.
§1.806
Term of deposit.
§1.807
Viability of deposit.
§1.808
Furnishing of samples.
§1.809
Examination procedures.

Application Disclosures Containing Nucleotide and/or Amino Acid Sequences

§1.821
Nucleotide and/or amino acid sequence disclosures in patent applications.
§1.822
Symbols and format to be used for nucleotide and/or amino acid sequence data.
§1.823
Requirements for nucleotide and/or amino acid sequences as part of the application.
§1.824
Form and format for nucleotide and/or amino acid sequence submissions in computer readable form.
§1.825
Amendments to or replacement of sequence listing and computer readable copy thereof.
Appendix
Appendix A to Subpart G of Part 1—Sample Sequence Listing
rule

Subpart H—INTER PARTES REEXAMINATION OF PATENTS THAT ISSUED FROM AN ORIGINAL APPLICATION FILED IN THE UNITED STATES ON OR AFTER NOVEMBER 29, 1999

Prior Art Citations

§1.902
Processing of prior art citations during an inter partes reexamination proceeding.

Requirements for Inter Partes Reexamination Proceedings

§1.903
Service of papers on parties in inter partes reexamination.
§1.904
Notice of inter partes reexamination in Official Gazette.
§1.905
Submission of papers by the public in inter partes reexamination.
§1.906
Scope of reexamination in inter partes reexamination proceeding.
§1.907
Inter partes reexamination prohibited.
§1.913
Persons eligible to file, and time for filing, a request for inter partes reexamination.
§1.915
Content of request for inter partes reexamination.
§1.919
Filing date of request for inter partes reexamination.
§1.923
Examiner's determination on the request for inter partes reexamination.
§1.925
Partial refund if request for inter partes reexamination is not ordered.
§1.927
Petition to review refusal to order inter partes reexamination.

Inter Partes Reexamination of Patents

§1.931
Order for inter partes reexamination.

Information Disclosure in Inter Partes Reexamination

§1.933
Patent owner duty of disclosure in inter partes reexamination proceedings.

Office Actions and Responses (Before the Examiner) in Inter Partes Reexamination

§1.935
Initial Office action usually accompanies order for inter partes reexamination.
§1.937
Conduct of inter partes reexamination.
§1.939
Unauthorized papers in inter partes reexamination.
§1.941
Amendments by patent owner in inter partes reexamination.
§1.943
Requirements of responses, written comments, and briefs in inter partes reexamination.
§1.945
Response to Office action by patent owner in inter partes reexamination.
§1.947
Comments by third party requester to patent owner's response in inter partes reexamination.
§1.948
Limitations on submission of prior art by third party requester following the order for inter partes reexamination.
§1.949
Examiner's Office action closing prosecution in inter partes reexamination.
§1.951
Options after Office action closing prosecution in inter partes reexamination.
§1.953
Examiner's Right of Appeal Notice in inter partes reexamination.

Interviews Prohibited in Inter Partes Reexamination

§1.955
Interviews prohibited in inter partes reexamination proceedings.

Extensions of Time, Terminating of Reexamination Prosecution, and Petitions To Revive in Inter Partes Reexamination

§1.956
Patent owner extensions of time in inter partes reexamination.
§1.957
Failure to file a timely, appropriate or complete response or comment in inter partes reexamination.
§1.958
Petition to revive inter partes reexamination prosecution terminated for lack of patent owner response.

Appeal to the Patent Trial and Appeal Board in Inter Partes Reexamination

§1.959
Appeal in inter partes reexamination.
§§1.961-1.977
[Reserved]
§1.979
Return of Jurisdiction from the Patent Trial and Appeal Board; termination of appeal proceedings.
§1.981
Reopening after a final decision of the Patent Trial and Appeal Board.

Appeal to the United States Court of Appeals for the Federal Circuit in Inter Partes Reexamination

§1.983
Appeal to the United States Court of Appeals for the Federal Circuit in inter partes reexamination.

Concurrent Proceedings Involving Same Patent in Inter Partes Reexamination

§1.985
Notification of prior or concurrent proceedings in inter partes reexamination.
§1.987
Suspension of inter partes reexamination proceeding due to litigation.
§1.989
Merger of concurrent reexamination proceedings.
§1.991
Merger of concurrent reissue application and inter partes reexamination proceeding.
§1.993
Suspension of concurrent interference and inter partes reexamination proceeding.
§1.995
Third party requester's participation rights preserved in merged proceeding.

Reexamination Certificate in Inter Partes Reexamination

§1.997
Issuance and publication of inter partes reexamination certificate concludes inter partes reexamination proceeding.


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