APPENDIX R      PATENT RULES

Title 37 - Code of Federal Regulations Patents, Trademarks, and
Copyrights

---SECTION---PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE

---SECTION---A GENERAL

---SECTION---PATENTS - RULES OF PRACTICE IN PATENT CASES

---SECTION---A General Provisions

---SECTION---GENERAL INFORMATION AND CORRESPONDENCE

---SECTION---1.1 Addresses for correspondence with the Patent and
Trademark Office.

Except for Section  1.1(a)(3) (i) and (ii), all correspondence intended
for the Patent and Trademark Office must be addressed to either
"Commissioner of Patents and Trademarks, Washington, D.C. 20231" or to
specific areas within the Office as set out in paragraphs (a) (1), (2)
and (3)(iii) of this section. When appropriate, correspondence should
also be marked for the attention of a particular office or individual.

Patent correspondence. All correspondence concerning patent matters
processed by organizations reporting to the Assistant Commissioner for
Patents should be addressed to "Assistant Commissioner for Patents,
Washington, D.C. 20231."

Trademark correspondence. All correspondence concerning trademark
matters, except for trademark-related documents sent to the Assignment
Division for recordation and requests for certified and uncertified
copies of trademark application and registration documents, should be
addressed to "Assistant Commissioner for Trademarks, 2900 Crystal Drive,
Arlington, Virginia 22202-3513." This includes correspondence intended
for the Trademark Trial and Appeal Board.

Office of Solicitor correspondence.

Correspondence relating to pending litigation required by court rule or
order to be served on the Solicitor shall be hand-delivered to the
Office of the Solicitor or shall be mailed to: Office of the Solicitor,
P.O. Box 15667, Arlington, Virginia 22215; or such other address as may
be designated in writing in the litigation. See Section Section 
1.302(c) and 2.145(b)(3) for filing a notice of appeal to the U.S. Court
of Appeals for the Federal Circuit.

Correspondence relating to disciplinary proceedings pending before an
Administrative Law Judge or the Commissioner shall be mailed to: Office
of the Solicitor, P.O. Box 16116, Arlington, Virginia 22215.

All other correspondence to the Office of the Solicitor shall be
addressed to: Box 8, Commissioner of Patents and Trademarks, Washington,
D.C. 20231.

Correspondence improperly addressed to a Post Office Box specified in
paragraphs (a)(3) (i) and (ii) of this section will not be filed
elsewhere in the Patent and Trademark Office, and may be returned.

Letters and other communications relating to international applications
during the international stage and prior to the assignment of a national
serial number should be additionally marked "Box PCT."

Requests for reexamination should be additionally marked "Box Reexam."

Payments of maintenance fees in patents and other communications
relating thereto should be additionally marked "Box M. Fee."

Communications relating to interferences and applications or patents
involved in an interference should be additionally marked "BOX
INTERFERENCE."

All applications for extension of patent term and any communications
relating thereto intended for the Patent and Trademark Office should be
additionally marked "Box Patent Ext." When appropriate, the
communication should also be marked to the attention of a particular
individual, as where a decision has been rendered.

[Reserved]

In applications under section 1(b) of the Trademark Act, 15 U.S.C.
1051(b), all statements of use filed under section 1(d) of the Act, and
requests for extensions of time therefor, should be additionally marked
"Box ITU."

The filing of all provisional applications and any communications
relating thereto should be additionally marked "Box Provisional Patent
Application."

NOTE: Sections 1.1 to 1.26 are applicable to trademark cases as well as
to national and international patent cases ex cept for provisions
specifically directed to patent cases. See Section  1.9 for definitions
of "national application'' and "interna tional application.''

[46 FR 29181, May 29, 1981; para. (d) added, 49 FR 34724, Aug. 31, 1984,
effective Nov. 1, 1984; para. (e), 49 FR 48416, Dec.12, 1984, effective
Feb. 11, 1985; para. (f) added, 52 FR 9394, Mar. 24, 1987; para. (g)
added, 53 FR 16413, May 9, 1988; para. (h) added, 54 FR 37588, Sept. 11,
1989, effective Nov. 16, 1989; para. (i) added, 60 FR 20195, Apr. 25,
1995, effective June 8, 1995; para. (a) revised and para. (g) removed
and reserved, 61 FR 56439, Nov. 1, 1996, effective Dec. 2, 1996]

---SECTION---1.2 Business to be transacted in writing.

All business with the Patent and Trademark Office should be transacted
in writing. The personal attendance of applicants or their attorneys or
agents at the Patent and Trademark Office is unnecessary. The action of
the Patent and Trademark Office will be based exclusively on the written
record in the Office. No attention will be paid to any alleged oral
promise, stipulation, or understanding in relation to which there is
disagreement or doubt.

---SECTION---1.3 Business to be conducted with decorum and courtesy.

Applicants and their attorneys or agents are required to conduct their
business with the Patent and Trademark Office with decorum and courtesy.
Papers presented in violation of this requirement will be submitted to
the Commissioner and will be returned by the Commissioner's direct
order. Complaints against examiners and other employees must be made in
correspondence separate from other papers.

[Amended, 61 FR 56439, Nov. 1, 1996, effective Dec. 2, 1996]

---SECTION---1.4 Nature of correspondence and signature requirements.

Correspondence with the Patent and Trademark Office comprises:

Correspondence relating to services and facilities of the Office, such
as general inquiries, requests for publications supplied by the Office,
orders for printed copies of patents or trademark registrations, orders
for copies of records, transmission of assignments for recording, and
the like, and

Correspondence in and relating to a particular application or other
proceeding in the Office. See particularly the rules relating to the
filing, processing, or other proceedings of national applications in
subpart B, Section Section  1.31 to 1.378; of international applications
in subpart C, Section Section  1.401 to 1.499; of reexamination of
patents in subpart D, Section Section  1.501 to 1.570; of interferences
in subpart E; Section Section  1.601 to 1.690; of extension of patent
term in subpart F, Section Section  1.710 to 1.785; and of trademark
applications Section Section  2.11 to 2.189.

Since each application file should be complete in itself, a separate
copy of every paper to be filed in an application should be furnished
for each application to which the paper pertains, even though the
contents of the papers filed in two or more applications may be
identical.

Since different matters may be considered by different branches or
sections of the Patent and Trademark Office, each distinct subject,
inquiry, or order should be contained in a separate letter to avoid
confusion and delay in answering letters dealing with different
subjects.

Each piece of correspondence, except as provided in paragraphs (e) and
(f) of this section, filed in a patent or trademark application,
reexamination proceeding, patent or trademark interference proceeding,
patent file or trademark registration file, trademark opposition
proceeding, trademark cancellation proceeding, or trademark concurrent
use proceeding, which requires a person's signature, must either:

Be an original, that is, have an original signature personally signed in
permanent ink by that person; or

Be a direct or indirect copy, such as a photocopy or facsimile
transmission (Section  1.6(d)), of an original. In the event that a copy
of the original is filed, the original should be retained as evidence of
authenticity. If a question of authenticity arises, the Patent and
Trademark Office may require submission of the original.

The presentation to the Office (whether by signing, filing, submitting,
or later advocating) of any paper by a party, whether a practitioner or
non-practitioner, constitutes a certification under Section
 10.18(b) of this chapter. Violations of Section  10.18(b)(2)
of this chapter by a party, whether a practitioner or non-practitioner,
may result in the imposition of sanctions under Section  10.18(c) of
this chapter. Any practitioner violating Section  10.18(b) may also be
subject to disciplinary action. See Section Section  10.18(d) and
10.23(c)(15).

Correspondence requiring person's signature and relating to registration
practice before the Patent and Trademark Office in patent cases,
enrollment and disciplinary investigations, or disciplinary proceedings
must be submitted with an original signature personally signed in
permanent ink by that person.

When a document that is required by statute to be certified must be
filed, a copy, including a photocopy or facsimile transmission, of the
certification is not acceptable.

An applicant who has not made of record a registered attorney or agent
may be required to state whether assistance was received in the
preparation or prosecution of the patent application, for which any
compensation or consideration was given or charged, and if so, to
disclose the name or names of the person or persons providing such
assistance. Assistance includes the preparation for the applicant of the
specification and amendments or other papers to be filed in the Patent
and Trademark Office, as well as other assistance in such matters, but
does not include merely making drawings by draftsmen or stenographic
services in typing papers.

[24 FR 10332, Dec. 22, 1959; 43 FR 20461, May 11, 1978; para. (a), 48 FR
2707, Jan. 20, 1983, effective Feb. 27, 1983; para. (a), 49 FR 48416,
Dec. 12, 1984, effective Feb. 11, 1985; para. (a)(2), 53 FR 47807, Nov.
28, 1988, effective Jan. 1, 1989; paras. (d)-(f) added, 58 FR 54494,
Oct. 22, 1993, effective Nov. 22, 1993; para. (d) revised & para. (g)
added, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.5 Identification of application, patent, or registration.

No correspondence relating to an application should be filed prior to
receipt of the application number from the Patent and Trademark Office.
When a letter directed to the Patent and Trademark Office concerns a
previously filed application for a patent, it must identify on the top
page in a conspicuous location, the application number (consisting of
the series code and the serial number; e.g., 07/123,456), or the serial
number and filing date assigned to that application by the Patent and
Trademark Office, or the international application number of the
international application. Any correspondence not containing such
identification will be returned to the sender where a return address is
available. The returned correspondence will be accompanied with a cover
letter which will indicate to the sender that if the returned
correspondence is resubmitted to the Patent and Trademark Office within
two weeks of the mail date on the cover letter, the original date of
receipt of the correspondence will be considered by the Patent and
Trademark Office as the date of receipt of the correspondence.
Applicants may use either the Certificate of Mailing or Transmission
procedure under Section  1.8 or the Express Mail procedure under Section 
1.10 for resubmissions of returned correspondence if they desire to have
the benefit of the date of deposit in the United States Postal Service.
If the returned correspondence is not resubmitted within the two-week
period, the date of receipt of the resubmission will be considered to be
the date of receipt of the correspondence. The two-week period to
resubmit the returned correspondence will not be extended. In addition
to the application number, all letters directed to the Patent and
Trademark Office concerning applications for patent should also state
the name of the applicant, the title of the invention, the date of
filing the same, and, if known, the group art unit or other unit within
the Patent and Trademark Office responsible for considering the letter
and the name of the examiner or other person to which it has been
assigned.

When the letter concerns a patent other than for purposes of paying a
maintenance fee, it should state the number and date of issue of the
patent, the name of the patentee, and the title of the invention. For
letters concerning payment of a maintenance fee in a patent, see the
provisions of Section  1.366(c).

A letter relating to a trademark application should identify it as such
and by the name of the applicant and the serial number and filing date
of the application. A letter relating to a registered trademark should
identify it by the name of the registrant and by the number and date of
the certificate.

A letter relating to a reexamination proceeding should identify it as
such by the number of the patent undergoing reexamination, the
reexamination request control number assigned to such proceeding, and,
if known, the group art unit and name of the examiner to which it been
assigned.

When a paper concerns an interference, it should state the names of the
parties and the number of the interference. The name of the
examiner-in-chief assigned to the interference (Section  1.610) and the
name of the party filing the paper should appear conspicuously on the
first page of the paper.

When a paper concerns a provisional application, it should identify the
application as such and include the application number.

[24 FR 10332, Dec 22, 1959; 46 FR 29181, May 29, 1981; para. (a), 49 FR
552, Jan. 4, 1984, effective Apr. 1, 1984; para. (a), 49 FR 48416, Dec.
12, 1984, effective Feb. 11, 1985; paras. (a) & (b), 53 FR 47807, Nov.
28, 1988, effective Jan. 1, 1989; para. (a) revised, 58 FR 54494, Oct.
22, 1993, effective Nov. 22, 1993; para. (f) added, 61 FR 42790, Aug.
19, 1996, effective Sept. 23, 1996; para. (a) amended, 61 FR 56439, Nov.
1, 1996, effective Dec. 2, 1996]

---SECTION---1.6 Receipt of correspondence.

Date of receipt and Express Mail date of deposit. Correspondence
received in the Patent and Trademark Office is stamped with the date of
receipt except as follows:

The Patent and Trademark Office is not open for the filing of
correspondence on any day that is a Saturday, Sunday, or Federal holiday
within the District of Columbia. Except for correspondence transmitted
by facsimile as provided for in paragraph (a)(3) of this section, no
correspondence is received in the Patent and Trademark Office on
Saturdays, Sundays, or Federal holidays within the District of Columbia.

Correspondence filed in accordance with Section Section  1.10 will be
stamped with the date of deposit as "Express Mail" with the United
States Postal Service.

Correspondence transmitted by facsimile to the Patent and Trademark
Office will be stamped with the date on which the complete transmission
is received in the Patent and Trademark Office unless that date is a
Saturday, Sunday, or Federal holiday within the District of Columbia, in
which case the date stamped will be the next succeeding day which is not
a Saturday, Sunday, or Federal holiday within the District of Columbia.

Patent and Trademark Office Post Office pouch. Mail placed in the Patent
and Trademark Office pouch up to midnight on any day, except Saturdays,
Sundays, and Federal holidays within the District of Columbia, by the
post office at Washington, DC, serving the Patent and Trademark Office,
is considered as having been received in the Patent and Trademark Office
on the day it was so placed in the pouch by the U.S. Postal Service.

Correspondence delivered by hand. In addition to being mailed,
correspondence may be delivered by hand during hours the Office is open
to receive correspondence.

Facsimile transmission. Except in the cases enumerated below,
correspondence, including authorizations to charge a deposit account,
may be transmitted by facsimile. The receipt date accorded to the
correspondence will be the date on which the complete transmission is
received in the Patent and Trademark Office, unless that date is a
Saturday, Sunday, or Federal holiday within the District of Columbia.
See Section  1.6(a)(3). To facilitate proper processing, each
transmission session should be limited to correspondence to be filed in
a single application or other proceeding before the Patent and Trademark
Office. The application number of a patent or trademark application, the
control number of a reexamination proceeding, the interference number of
an interference proceeding, the patent number of a patent, or the
registration number of a trademark should be entered as a part of the
sender's identification on a facsimile cover sheet. Facsimile
transmissions are not permitted and, if submitted, will not be accorded
a date of receipt in the following situations:

Correspondence as specified in Section  1.4(e), requiring an original
signature;

Certified documents as specified in Section  1.4(f);

Correspondence which cannot receive the benefit of the certificate of
mailing or transmission as specified in Section  1.8(a)(2)(i)(A)
through (D) and (F), Section  1.8(a)(2)(ii)(A), and Section
 1.8(a)(2)(iii)(A), except that a continued prosecution application
under Section  1.53(d) may be transmitted to the Office by
facsimile;

Drawings submitted under Section Section  1.81, 1.83 through 1.85,
1.152, 1.165, 1.174, 1.437, 2.51, 2.52, or 2.72;

A request for reexamination under Section  1.510;

Correspondence to be filed in a patent application subject to a secrecy
order under Section Section  5.1 through 5.5 of this chapter and
directly related to the secrecy order content of the application;

Requests for cancellation or amendment of a registration under section
7(e) of the Trademark Act, 15 U.S.C. 1057(e); and certificates of
registration surrendered for cancellation or amendment under section
7(e) of the Trademark Act, 15 U.S.C. 1057(e);

Correspondence to be filed with the Trademark Trial and Appeal Board,
except the notice ofex parte appeal;

Correspondence to be filed in an interference proceeding which consists
of a preliminary statement under Section  1.621; a transcript of a
deposition under Section  1.676 or of interrogatories,
cross-interrogatories, or recorded answers under Section  1.684(c); or
an evidentiary record and exhibits under Section  1. 653.

Interruptions in U.S. Postal Service. If interruptions or emergencies in
the United States Postal Service which have been so designated by the
Commissioner occur, the Patent and Trademark Office will consider as
filed on a particular date in the Office any correspondence which is:

Promptly filed after the ending of the designated interruption or
emergency; and

Accompanied by a statement indicating that such correspondence would
have been filed on that particular date if it were not for the
designated interruption or emergency in the United States Postal
Service.

Facsimile transmission of a patent application under Section
 1.53(d). In the event that the Office has no evidence of receipt
of an application under Section  1.53(d) (a continued prosecution
application) transmitted to the Office by facsimile transmission, the
party who transmitted the application under Section  1.53(d) may
petition the Commissioner to accord the application under Section 
1.53(d) a filing date as of the date the application under Section 
1.53(d) is shown to have been transmitted to and received in the Office,

Provided that the party who transmitted such application under Section 
1.53(d):

Informs the Office of the previous transmission of the application under
Section  1.53(d) promptly after becoming aware that the Office has
no evidence of receipt of the application under Section  1.53(d);

Supplies an additional copy of the previously transmitted application
under Section  1.53(d); and

Includes a statement which attests on a personal knowledge basis or to
the satisfaction of the Commissioner to the previous transmission of the
application under Section  1.53(d) and is accompanied by a copy of
the sending unit's report confirming transmission of the application
under Section  1.53(d) or evidence that came into being after the
complete transmission and within one business day of the complete
transmission of the application under Section  1.53(d).

The Office may require additional evidence to determine if the
application under Section  1.53(d) was transmitted to and received
in the Office on the date in question.

[48 FR 2707, Jan. 20, 1983, effective Feb. 27, 1983; 48 FR 4285, Jan.
31, 1983; para. (a), 49 FR 552, Jan. 4, 1984, effective Apr. 1, 1984;
revised, 58 FR 54494, Oct. 22, 1993, effective Nov. 22, 1993; para. (a)
amended, 61 FR 56439, Nov. 1, 1996, effective Dec. 2, 1996; paras.
(d)(3), (d)(6) & (e) amended, para. (f) added, 62 FR 53131, Oct. 10,
1997, effective Dec. 1, 1997]

---SECTION---1.7 Times for  taking action; expiration on Saturday,
Sunday, or Federal holiday.
whenever periods of time are specified in this part in days, calendar
days are intended. When the day, or the last day fixed by statute or by
or under this part for taking any action or paying any fee in the Patent
and Trademark Office falls on Saturday, Sunday, or on a Federal holiday
within the District of Columbia, the action may be taken, or the fee
paid, on the next succeeding day which is not a Saturday, Sunday, or a
Federal holiday. See Section  1.304 for time for appeal or for
commencing civil action.

[48 FR 2707, Jan. 20, 1983, effective Feb. 27, 1983; corrected 48 FR
4285, Jan. 31, 1983]

---SECTION---1.8 Certificate of mailing or transmission.

Except in the cases enumerated in paragraph (a)(2) of this section,
correspondence required to be filed in the Patent and Trademark Office
within a set period of time will be considered as being timely filed if
the procedure described in this section is followed. The actual date of
receipt will be used for all other purposes.

Correspondence will be considered as being timely filed if:

The correspondence is mailed or transmitted prior to expiration of the
set period of time by being:

Addressed as set out in Section  1.1(a) and deposited with the U.S.
Postal Service with sufficient postage as first class mail; or

Transmitted by facsimile to the Patent and Trademark Office in
accordance with Section  1.6(d); and

The correspondence includes a certificate for each piece of
correspondence stating the date of deposit or transmission. The person
signing the certificate should have reasonable basis to expect that the
correspondence would be mailed or transmitted on or before the date
indicated.

The procedure described in paragraph (a)(1) of this section does not
apply to, and no benefit will be given to a Certificate of Mailing or
Transmission on, the following:

Relative to Patents and Patent Applications-

The filing of a national patent application specification and drawing or
other correspondence for the purpose of obtaining an application filing
date, including a request for a continued prosecution application under
Section  1.53(d);

The filing of correspondence in an interference which an
examiner-in-chief orders to be filed by hand or "Express Mail";

The filing of agreements between parties to an interference under 35
U.S.C. 135(c);

The filing of an international application for patent;

The filing of correspondence in an international application before the
U.S. Receiving Office, the U.S. International Searching Authority, or
the U.S. International Preliminary Examining Authority;

The filing of a copy of the international application and the basic
national fee necessary to enter the national stage, as specified in
Section  1.494(b) or Section  1.495(b).

Relative to Trademark Registrations and Trademark Applications-

The filing of a trademark application.

[Reserved]

[Reserved]

[Reserved]

[Reserved]

[Reserved]

Relative to Disciplinary Proceedings-

Correspondence filed in connection with a disciplinary proceeding under
part 10 of this chapter.

[Reserved]

In the event that correspondence is considered timely filed by being
mailed or transmitted in accordance with paragraph (a) of this section,
but not received in the Patent and Trademark Office, and the application
is held to be abandoned or the proceeding is dismissed, terminated, or
decided with prejudice, the correspondence will be considered timely if
the party who forwarded such correspondence:

Informs the Office of the previous mailing or transmission of the
correspondence promptly after becoming aware that the Office has no
evidence of receipt of the correspondence;

Supplies an additional copy of the previously mailed or transmitted
correspondence and certificate; and

Includes a statement which attests on a personal knowledge basis or to
the satisfaction of the Commissioner to the previous timely mailing or
transmission. If the correspondence was sent by facsimile transmission,
a copy of the sending unit's report confirming transmission may be used
to support this statement.

The Office may require additional evidence to determine if the
correspondence was timely filed.

[41 FR 43721, Oct. 4, 1976; 43 FR 20461, May 11, 1978; para. (a). 47 FR
47381, Oct. 26, 1982, effective Oct. 26, 1982; para. (a),48 FR 2708,
Jan. 20, 1983; para. (a) 49 FR 48416, Dec. 12, 1984, effective Feb. 11,
1985; para. (a), 49 FR 5171, Feb. 6, 1985, effective Mar. 8, 1985; 52 FR
20046, May 28, 1987; subparas. (a)(2)(xiv)-(xvi), 54 FR 37588, Sept. 11,
1989, effective Nov. 16, 1989; revised, 58 FR 54494, Oct. 22, 1993,
effective Nov. 22, 1993; para. (a) revised, 61 FR 56439, Nov. 1, 1996,
effective Dec. 2, 1996; paras. (a)(2)(i)(A) & (b) revised; 62 FR 53131,
Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.9 Definitions.

A national application as used in this chapter means a U.S. application
for patent which was either filed in the Office under 35 U.S.C. 111, or
which entered the national stage from an international application after
compliance with 35 U.S.C. 371.

A provisional application as used in this chapter means a U.S. national
application for patent filed in the Office under 35 U.S.C. 111(b).

A nonprovisional application as used in this chapter means a U.S.
national application for patent which was either filed in the Office
under 35 U.S.C. 111(a), or which entered the national stage from an
international application after compliance with 35 U.S.C. 371.

An international application as used in this chapter means an
international application for patent filed under the Patent Cooperation
Treaty prior to entering national processing at the Designated Office
stage.

An independent inventor as used in this chapter means any inventor who
(1) has not assigned, granted, conveyed, or licensed, and (2) is under
no obligation under contract or law to assign, grant, convey, or
license, any rights in the invention to any person who could not
likewise be classified as an independent inventor if that person had
made the invention, or to any concern which would not qualify as a small
business concern or a nonprofit organization under this section.

A small business concern as used in this chapter means any business
concern meeting the size standards set forth in 13 CFR Part 121 to
be eligible for reduced patent fees. Questions related to size standards
for a small business concern may be directed to: Small Business
Administration, Size Standards Staff, 409 Third Street, SW, Washington,
DC 20416.

A nonprofit organization as used in this chapter means (1) a university
or other institution of higher education located in any country; (2) an
organization of the type described in section 501(c)(3) of the Internal
Revenue Code of 1954 (26 U.S.C. 501(c)(3)) and exempt from taxation
under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a));
(3) any nonprofit scientific or educational organization qualified under
a nonprofit organization statute of a state of this country (35 U.S.C.
201(i)); or (4) any non-profit organization located in a foreign country
which would qualify as a nonprofit organization under paragraphs (e) (2)
or (3) of this section if it were located in this country.

A small entity as used in this chapter means an independent inventor, a
small business concern, or a non-profit organization eligible for
reduced patent fees.

For definitions in interferences see Section  1.601.

A Federal holiday within the District of Columbia as used in this
chapter means any day, except Saturdays and Sundays, when the Patent and
Trademark Office is officially closed for business for the entire day.

[43 FR 20461, May 11, 1978; 47 FR 40139, Sept. 10, 1982, effective Oct.
1, 1982; 47 FR 43275, Sept. 30, 1982, effective Oct. 1, 1982; para. (d),
49 FR 34724, Aug. 31, 1984, effective Nov. 1, 1984; para. (g), 49 FR
48416, Dec. 12, 1984, effective Feb. 11, 1985; para. (d) revised, 58 FR
54504, Oct. 22, 1993, effective Jan. 3, 1994; para. (a) amended, 60 FR
20195, Apr. 25, 1995, effective June 8, 1995; para. (h) added, 61 FR
56439, Nov. 1, 1996, effective Dec. 2, 1996; paras. (d) & (f) revised,
62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.10 Filing of papers and fees by "Express Mail."

Any correspondence received by the Patent and Trademark Office (Office)
that was delivered by the "Express Mail Post Office to Addressee"
service of the United States Postal Service (USPS) will be considered
filed in the Office on the date of deposit with the USPS. The date of
deposit with the USPS is shown by the "date-in" on the "Express Mail"
mailing label or other official USPS notation. If the USPS deposit date
cannot be determined, the correspondence will be accorded the Office
receipt date as the filing date. See Section  1.6(a).

Correspondence should be deposited directly with an employee of the USPS
to ensure that the person depositing the correspondence receives a
legible copy of the "Express Mail" mailing label with the "date-in"
clearly marked. Persons dealing indirectly with the employees of the
USPS (such as by deposit in an "Express Mail" drop box) do so at the
risk of not receiving a copy of the "Express Mail" mailing label with
the desired "date-in" clearly marked. The paper(s) or fee(s) that
constitute the correspondence should also include the "Express Mail"
mailing label number thereon. See paragraphs (c), (d) and (e) of this
section.

Any person filing correspondence under this section that was received by
the Office and delivered by the "Express Mail Post Office to Addressee"
service of the USPS, who can show that there is a discrepancy between
the filing date accorded by the Office to the correspondence and the
date of deposit as shown by the "date-in" on the "Express Mail" mailing
label or other official USPS notation, may petition the Commissioner to
accord the correspondence a filing date as of the "date-in" on the
"Express Mail" mailing label or other official USPS notation, provided
that:

The petition is filed promptly after the person becomes aware that the
Office has accorded, or will accord, a filing date other than the USPS
deposit date;

The number of the "Express Mail" mailing label was placed on the
paper(s) or fee(s) that constitute the correspondence prior to the
original mailing by "Express Mail;" and

The petition includes a true copy of the "Express Mail" mailing label
showing the "date-in," and of any other official notation by the USPS
relied upon to show the date of deposit.

Any person filing correspondence under this section that was received by
the Office and delivered by the "Express Mail Post Office to Addressee"
service of the USPS, who can show that the "date-in" on the "Express
Mail" mailing label or other official notation entered by the USPS was
incorrectly entered or omitted by the USPS, may petition the
Commissioner to accord the correspondence a filing date as of the date
the correspondence is shown to have been deposited with the USPS,
provided that:

The petition is filed promptly after the person becomes aware that the
Office has accorded, or will accord, a filing date based upon an
incorrect entry by the USPS;

The number of the "Express Mail" mailing label was placed on the
paper(s) or fee(s) that constitute the correspondence prior to the
original mailing by "Express Mail"; and

The petition includes a showing which establishes, to the satisfaction
of the Commissioner, that the requested filing date was the date the
correspondence was deposited in the "Express Mail Post Office to
Addressee" service prior to the last scheduled pickup for that day. Any
showing pursuant to this paragraph must be corroborated by evidence from
the USPS or that came into being after deposit and within one business
day of the deposit of the correspondence in the "Express Mail Post
Office to Addressee" service of the USPS.

Any person mailing correspondence addressed as set out in Section 
1.1(a) to the Office with sufficient postage utilizing the "Express Mail
Post Office to Addressee" service of the USPS but not received by the
Office, may petition the Commissioner to consider such correspondence
filed in the Office on the USPS deposit date, provided that:

The petition is filed promptly after the person becomes aware that the
Office has no evidence of receipt of the correspondence;

The number of the "Express Mail" mailing label was placed on the
paper(s) or fee(s) that constitute the correspondence prior to the
original mailing by "Express Mail";

The petition includes a copy of the originally deposited paper(s) or
fee(s) that constitute the correspondence showing the number of the
"Express Mail" mailing label thereon, a copy of any returned postcard
receipt, a copy of the "Express Mail" mailing label showing the
"date-in," a copy of any other official notation by the USPS relied upon
to show the date of deposit, and, if the requested filing date is a date
other than the "date-in" on the "Express Mail" mailing label or other
official notation entered by the USPS, a showing pursuant to paragraph
(d)(3) of this section that the requested filing date was the date the
correspondence was deposited in the "Express Mail Post Office to
Addressee" service prior to the last scheduled pickup for that day; and

The petition includes a statement which establishes, to the satisfaction
of the Commissioner, the original deposit of the correspondence and that
the copies of the correspondence, the copy of the "Express Mail" mailing
label, the copy of any returned postcard receipt, and any official
notation entered by the USPS are true copies of the originally mailed
correspondence, original "Express Mail" mailing label, returned postcard
receipt, and official notation entered by the USPS.

The Office may require additional evidence to determine if the
correspondence was deposited as "Express Mail" with the USPS on the date
in question.

[48 FR 2708, Jan. 20, 1983, added effective Feb. 27, 1983; 48 FR 4285,
Jan. 31, 1983, paras. (a) & (c), 49 FR 552, Jan. 4, 1984, effective Apr.
1, 1984; paras. (a) - (c) revised and paras. (d) - (f) added, 61 FR
56439, Nov. 1, 1996, effective Dec. 2, 1996; paras. (d) & (e) revised,
62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---RECORDS AND FILES OF THE PATENT AND TRADEMARK OFFICE

---SECTION---1.11 Files open to the public.

After a patent has been issued or a statutory invention registration has
been published, the specification, drawings, and all papers relating to
the case in the file of the patent or statutory invention registration
are open to inspection by the public, and copies may be obtained upon
paying the fee therefor. See Section  2.27 for trademark files.

All reissue applications, all applications in which the Office has
accepted a request to open the complete application to inspection by the
public, and related papers in the application file, are open to
inspection by the public, and copies may be furnished upon paying the
fee therefor. The filing of reissue applications, other than continued
prosecution applications under Section  1.53(d) of reissue
applications, will be announced in the Official Gazette. The
announcement shall include at least the filing date, reissue application
and original patent numbers, title, class and subclass, name of the
inventor, name of the owner of record, name of the attorney or agent of
record, and examining group to which the reissue application is
assigned.

All requests for reexamination for which the fee under Section  1.20(c)
has been paid, will be announced in the Official Gazette. Any
reexaminations at the initiative of the Commissioner pursuant to Section 
1.520 will also be announced in the Official Gazette. The announcement
shall include at least the date of the request, if any, the
reexamination request control number or the Commissioner initiated order
control number, patent number, title, class and subclass, name of the
inventor, name of the patent owner of record, and the examining group to
which the reexamination is assigned.

All papers or copies thereof relating to a reexamination proceeding
which have been entered of record in the patent or reexamination file
are open to inspection by the general public, and copies may be
furnished upon paying the fee therefor.

The file of any interference involving a patent, a statutory invention
registration, a reissue application, or an application on which a patent
has been issued or which has been published as a statutory invention
registration, is open to inspection by the public, and copies may be
obtained upon paying the fee therefor, if:

The interference has terminated or

An award of priority or judgment has been entered as to all parties and
all counts.

[42 FR 5593, Jan. 28, 1977; 43 FR 28477, June 30, 1978; 46 FR 29181, May
29, 1981, para. (c), 47 FR 41272, Sept. 17, 1982, effective Oct. 1,
1982; para. (a), 49 FR 48416, Dec. 12, 1984, effective Feb. 11, 1985;
paras. (a), (b) and (e), 50 FR 9278, Mar. 7, 1985, effective May 8,
1985; para. (e) revised, 60 FR 14488, Mar. 17, 1995, effective Mar. 17,
1995; para. (b) revised, 62 FR 53131, Oct. 10, 1997, effective Dec. 1,
1997]

---SECTION---1.12 Assignment records open to public inspection.

Separate assignment records are maintained in the Patent and Trademark
Office for patents and trademarks. The assignment records, relating to
original or reissue patents, including digests and indexes, for
assignments recorded on or after May 1, 1957, and assignment records
relating to pending or abandoned trademark applications and to trademark
registrations, for assignments recorded on or after January 1, 1955, are
open to public inspection at the Patent and Trademark Office, and copies
of those assignment records may be obtained upon request and payment of
the fee set forth in Section  1.19 and Section  2.6 of this chapter.

All records of assignments of patents recorded before May 1, 1957, and
all records of trademark assignments recorded before January 1, 1955,
are maintained by the National Archives and Records Administration
(NARA). The records are open to public inspection. Certified and
uncertified copies of those assignment records are provided by NARA upon
request and payment of the fees required by NARA.

Assignment records, digests, and indexes relating to any pending or
abandoned application are not available to the public. Copies of any
such assignment records and information with respect thereto shall be
obtainable only upon written authority of the applicant or applicant's
assignee or attorney or agent or upon a showing that the person seeking
such information is a bona fide prospective or actual purchaser,
mortgagee, or licensee of such application, unless it shall be necessary
to the proper conduct of business before the Office or as provided by
these rules.

Any request by a member of the public seeking copies of any assignment
records of any pending or abandoned patent application preserved in
confidence under Section  1.14, or any information with respect thereto,
must:

Be in the form of a petition accompanied by the petition fee set forth
in Section  1.17(i); or

Include written authority granting access to the member of the public to
the particular assignment records from the applicant or applicant's
assignee or attorney or agent of record.

An order for a copy of an assignment or other document should identify
the reel and frame number where the assignment or document is recorded.
If a document is identified without specifying its correct reel and
frame, an extra charge as set forth in Section  1.21(j) will be made for
the time consumed in making a search for such assignment.

[47 FR 41272, Sept. 17, 1982, effective Oct. 1, 1982; paras. (a) and
(c), 54 FR 6893, Feb. 15, 1989, effective April 17, 1989; paras. (a) and
(d), 56 FR 65142, Dec. 13, 1991, effective Dec. 16, 1991; paras. (a)(1)
and (d), 57 FR 29641, July 6, 1992, effective Sept. 4, 1992; para.
(a)(2) added, 57 FR 29641, July 6, 1992, effective Sept. 4, 1992; para.
(c) amended, 60 FR 20195, Apr. 25, 1995, effective June 8, 1995; para.
(c) amended, 61 FR 42790, Aug. 19, 1996, effective Sept. 23, 1996]

---SECTION---1.13 Copies and certified copies.

Non-certified copies of patents and trademark registrations and of any
records, books, papers, or drawings within the jurisdiction of the
Patent and Trademark Office and open to the public, will be furnished by
the Patent and Trademark Office to any person, and copies of other
records or papers will be furnished to persons entitled thereto, upon
payment of the fee therefor.

Certified copies of the patents and trademark registrations and of any
records, books, papers, or drawings within the jurisdiction of the
Patent and Trademark Office and open to the public or persons entitled
thereto will be authenticated by the seal of the Patent and Trademark
Office and certified by the Commissioner, or in his name attested by an
officer of the Patent and Trademark Office authorized by the
Commissioner, upon payment of the fee for the certified copy.

[Revised, 58 FR 54504, Oct. 22, 1993, effective Jan. 3, 1994]

---SECTION---1.14 Patent applications preserved in confidence.

Patent applications are generally preserved in confidence pursuant to
35 U.S.C. 122. No information will be given concerning the filing,
pendency, or subject matter of any application for patent, and no access
will be given to, or copies furnished of, any application or papers
relating thereto, except as set forth in this section.

Status information includes information such as whether the application
is pending, abandoned, or patented, as well as the application number
and filing date (or international filing date or date of entry into the
national stage).

Status information concerning an application may be supplied:

When copies of, or access to, the application may be provided pursuant
to paragraph (a)(3) of this section;

When the application is identified by application number or serial
number and filing date in a published patent document or in a U.S.
application open to public inspection; or

When the application is the national stage of an international
application in which the United States of America has been indicated as
a Designated State.

Status information concerning an application may also be supplied when
the application claims the benefit of the filing date of an application
for which status information may be provided pursuant to paragraph
(a)(1)(i) of this section.

Copies of an application-as-filed may be provided to any person, upon
written request accompanied by the fee set forth in Section  1.19(b)(1),
without notice to the applicant, if the application is incorporated by
reference in a U.S. patent.

Copies of (upon payment of the fee set forth in Section  1.19(b)(2)),
and access to, an application file wrapper and contents may be provided
to any person, upon written request, without notice to the applicant,
when the application file is available and:

It has been determined by the Commissioner to be necessary for the
proper conduct of business before the Office or warranted by other
special circumstances;

The application is open to the public as provided in Section
 1.11(b);

Written authority in that application from the applicant, the assignee
of the application, or the attorney or agent of record has been granted;
or

The application is abandoned, but not if the application is in the file
jacket of a pending application under Section  1.53(d), and is:

Referred to in a U.S. patent;

Referred to in a U.S. application open to public inspection;

An application which claims the benefit of the filing date of a U.S.
application open to public inspection; or

An application in which the applicant has filed an authorization to lay
open the complete application to the public.

Complete applications (Section  1.51(a)) which are abandoned may be
destroyed and hence may not be available for access or copies as
permitted by paragraph (a)(3)(iv) of this section after 20 years from
their filing date, except those to which particular attention has been
called and which have been marked for preservation.

Applications for patents which disclose or which appear to disclose, or
which purport to disclose, inventions or discoveries relating to atomic
energy are reported to the Department of Energy, which Department will
be given access to such applications, but such reporting does not
constitute a determination that the subject matter of each application
so reported is in fact useful or an invention or discovery or that such
application in fact discloses subject matter in categories specified by
sections 151(c) and 151(d) of the Atomic Energy Act of 1954, 68 Stat.
919; 42 U.S. C. 2181 (c) and (d).

Any decision of the Board of PatentAppeals andInterferences, or any
decision of the Commissioner on petition, not otherwise open to public
inspection shall be published or made available for public inspection
if: (1) The Commissioner believes the decision involves an
interpretation of patent laws or regulations that would be of important
precedent value; and (2) the applicant, or any party involved in the
interference, does not within two months after being notified of the
intention to make the decision public, object in writing on the ground
that the decision discloses a trade secret or other confidential
information. If a decision discloses such information, the applicant or
party shall identify the deletions in the text of the decision
considered necessary to protect the information. If it is considered the
entire decision must be withheld from the public to protect such
information, the applicant or party must explain why. Applicants or
parties will be given time, not less than twenty days, to request
reconsideration and seek court review before any portions of decisions
are made public over their objection. See Section  2.27 for trademark
applications.

Any request by a member of the public seeking access to, or copies of,
any pending or abandoned application preserved in confidence pursuant to
paragraph (a) of this section, or any papers relating thereto, must:

Be in the form of a petition and be accompanied by the petition fee set
forth in Section  1.17(i); or

Include written authority granting access to the member of the public in
that particular application from the applicant or the applicant's
assignee or attorney or agent of record.

Information as to the filing of an application will be published in the
Official Gazette in accordance with Section  1.47(a) and (b).

Copies of an application file for which the United States acted as the
International Preliminary Examining Authority, or copies of a document
in such an application file, will be furnished in accordance with Patent
Cooperation Treaty (PCT) Rule 94.2 or 94.3, upon payment of the
appropriate fee (Section  1.19(b)(2) or Section  1.19(b)(3)).

NOTE: See Section  1.612(a) for access by an interference party to a
pending or abandoned application.

[42 FR 5593, Jan. 28, 1977; 43 FR 20462, May 11, 1978; para. (e) added,
47 FR 41273, Sept. 17, 1982, effective Oct. 1, 1982; para. (b), 49 FR
552, Jan. 4, 1984, effective Apr. 1, 1984; para. (d), 49 FR 48416, Dec.
12, 1984, effective Feb. 11, 1985; para. (b), 50 FR 9378, Mar. 7, 1985,
effective May 8, 1985; 53 FR 23733, June 23, 1988; para. (e), 54 FR
6893, Feb. 15, 1989, effective April 17, 1989; para. (b) revised, 58 FR
54504, Oct. 22, 1993, effective Jan. 3, 1994; para. (e) amended, 60 FR
20195, Apr. 25, 1995, effective June 8, 1995; paras. (a), (b) and (e)
amended, 61 FR 42790, Aug. 19, 1996, effective Sept. 23, 1996; para. (a)
revised & para. (f) added, 62 FR 53131, Oct. 10, 1997, effective Dec. 1,
1997; para. (g) added, 63 FR 29614, June 1, 1998, effective July 1,
1998]

---SECTION---1.15 Requests for identifiable records.

Requests for records not disclosed to the public as part of the regular
informational activity of the Patent and Trademark Office and which are
not otherwise dealt with in the rules in this part shall be made in
writing, with the envelope and the letter clearly marked "Freedom of
Information Request." Each such request, so marked, should be submitted
by mail addressed to the "Patent and Trademark Office, Freedom of
Information Request Control Desk, Box 8, Washington, D.C. 20231," or
hand-delivered to the Office of the Solicitor, Patent and Trademark
Office, Arlington, Virginia. The request will be processed in accordance
with the procedures set forth in Part 4 of Title 15, Code of Federal
Regulations.

Any person whose request for records has been initially denied in whole
or in part, or has not been timely determined, may submit a written
appeal as provided in Section  4.8 of Title 15, Code of Federal
Regulations.

Procedures applicable in the event of service of process or in
connection with testimony of employees on official matters and
production of official documents of the Patent and Trademark Office in
civil legal proceedings not involving the United States shall be those
established in parts 15 and 15a of Title 15, Code of Federal
Regulations.

[32 FR 13812, Oct. 4, 1967; 34 FR 18857, Nov. 26, 1969; amended 53 FR
47685, Nov. 25, 1988, effective Dec. 30, 1988]

---SECTION---FEES AND PAYMENT OF MONEY

---SECTION---1.16 National application filing fees.

Basic fee for filing each application for an original patent, except
provisional, design or plant applications:

By a small entity (Section  1.9(f))          395.00
By other than a small entity                 790.00

In addition to the basic filing fee in an original application, except
provisional applications, for filing or later presentation of each
independent claim in excess of 3:

By a small entity (Section  1.9(f))           41.00
By other than a small entity                  82.00

In addition to the basic filing fee in an original application, except
provisional applications, for filing or later presentation of each claim
(whether independent or dependent) in excess of 20 (Note that Section 
1.75(c) indicates how multiple dependent claims are considered for fee
calculation purposes.):

By a small entity (Section  1.9(f))           11.00
By other than a small entity                  22.00

In addition to the basic filing fee in an original application, except
provisional applications, if the application contains, or is amended to
contain, a multiple dependent claim(s), per application:

By a small entity (Section  1.9(f))          135.00
By other than a small entity                 270.00

Surcharge for filing the basic filing fee or oath or declaration on a
date later than the filing date of the application, except provisional
applications:

By a small entity (Section  1.9(f))           65.00
By other than a small entity                 130.00

Basic fee for filing each design application:

By a small entity (Section  1.9(f))          165.00
By other than a small entity                 330.00

Basic fee for filing each plant application, except provisional
applications:

By a small entity (Section  1.9(f))          270.00
By other than a small entity                 540.00

Basic fee for filing each reissue application:

By a small entity (Section  1.9(f))          395.00
By other than a small entity                 790.00

In addition to the basic filing fee in a reissue application, for filing
or later presentation of each independent claim which is in excess of
the number of independent claims in the original patent:

By a small entity (Section  1.9(f))           41.00
By other than a small entity                  82.00

In addition to the basic filing fee in a reissue application, for filing
or later presentation of each claim (whether independent or dependent)
in excess of 20 and also in excess of the number of claims in the
original patent. (Note that Section  1.75(c) indicates how multiple
dependent claims are considered for fee purposes):

By a small entity (Section  1.9(f))           11.00
By other than a small entity                  22.00

Basic fee for filing each provisional application:

By a small entity (Section  1.9(f))           75.00
By other than a small entity                 150.00

Surcharge for filing the basic filing fee or cover sheet (Section 
1.51(c)(1)) on a date later than the filing date of the provisional
application:

By a small entity (Section  1.9(f))           25.00
By other than a small entity                  50.00

If the additional fees required by paragraphs (b), (c), (d), (i) and (j)
of this section are not paid on filing or on later presentation of the
claims for which the additional fees are due, they must be paid or the
claims canceled by amendment, prior to the expiration of the time period
set for reply by the Office in any notice of fee deficiency.

NOTE: See Section Section  1.445, 1.482 and 1.492 for international
application filing and processing fees.

[Added, 47 FR 41273, Sept. 17, 1982, effective date Oct. 1, 1982; 50 FR
31824, Aug. 6, 1985, effective date Oct. 5, 1985; paras. (a), (b), (d) -
(i), 54 FR 6893, Feb. 15, 1989, effective Apr. 17, 1989; paras. (a)-(j),
56 FR 65142, Dec. 13, 1991, effective Dec. 16, 1991; paras. (a)-(d) and
(f)-(j), 57 FR 38190, Aug. 21, 1992, effective Oct. 1, 1992; paras. (a),
(b), (d) and (f)-(i), 59 FR 43736, Aug. 25, 1994, effective Oct. 1,
1994; paras. (a)-(g) amended and paras. (k) and (l) added, 60 FR 20195,
Apr. 25, 1995, effective June 8, 1995; paras. (a), (b), (d), & (f)-(i)
amended, 60 FR 41018, Aug. 11, 1995, effective Oct. 1, 1995; paras. (a),
(b), (d), and (f)-(i) amended and para. (m) added, 61 FR 39585, July 30,
1996, effective Oct. 1, 1996; paras. (a), (b), (d), and (f) - (i)
amended, 62 FR 40450, July 29, 1997, effective Oct. 1, 1997; paras. (d)
& (l) amended, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.17 Patent application processing fees.

Extension fees pursuant to Section  1.136(a):

For reply within first month:

By a small entity (Section 1.9(f))         55.00
By other than a small entity              110.00

For reply within second month:

By a small entity (Section 1.9(f))        200.00
By other than a small entity              400.00

For reply within third month:

By a small entity (Section 1.9(f))        475.00
By other than a small entity              950.00

For reply within fourth month:

By a small entity (Section 1.9(f))        755.00
By other than a small entity                   1

For reply within fifth month:

By a small entity (Section 1.9(f))              1
By other than a small entity                    2

For filing a notice of appeal from the examiner to the Board of Patent
Appeals and Interferences:

By a small entity (Section 1.9(f))         155.00
By other than a small entity               310.00

In addition to the fee for filing a notice of appeal, for filing a brief
in support of an appeal:

By a small entity (Section 1.9(f))         155.00

By other than a small entity               310.00

For filing a request for an oral hearing before the Board of Patent
Appeals and Interferences in an appeal under 35 U.S.C. 134:

By a small entity (Section 1.9(f))         135.00
By other than a small entity               270.00

[Reserved]

[Reserved]

[Reserved]

For filing a petition to the Commissioner under a section listed below
which refers to this paragraph

130.00

Section 1.182 - for decision on a question not specifically provided
for.

Section 1.183 - to suspend the rules.

Section  1.295 - for review of refusal to publish a statutory
invention registration.

Section  1.377 - for review of decision refusing to accept and
record payment of a maintenance fee filed prior to expiration of a
patent.

Section  1.378(e) - for reconsideration of decision on petition
refusing to accept delayed payment of maintenance fee in an expired
patent.

Section  1.644(e) - for petition in an interference.

Section  1.644(f) - for request for reconsideration of a decision
on petition in an interference.

Section  1.666(c) - for late filing of interference settlement
agreement.

Section  5.12 - for expedited handling of a foreign filing license.

Section  5.15 - for changing the scope of a license.

Section  5.25 - for retroactive license.

For filing a petition to the Commissioner under a section listed below
which refers to this paragraph

130.00

---SECTION---1.12 - for access to an assignment record.

Section  1.14 - for access to an application.

Section  1.41 - to supply the name or names of the inventor or
inventors after the filing date without an oath or declaration as
prescribed by Section  1.63, except in provisional applications.

Section  1.47 - for filing by other than all the inventors or a
person not the inventor.

Section  1.48 - for correction of inventorship, except in
provisional applications.

Section  1.53 - to accord a filing date, except in provisional
applications.

Section  1.55 - for entry of late priority papers.

Section  1.59 - for expungement and return of information.

Section  1.84 - for accepting color drawings or photographs.

Section  1.91 - for entry of a model or exhibit.

Section  1.97(d) - to consider an information disclosure statement.

Section  1.102 - to make an application special.

Section  1.103 - to suspend action in application.

Section  1.177 - for divisional reissues to issue separately.

Section  1.312 - for amendment after payment of issue fee.

Section  1.313 - to withdraw an application from issue.

Section  1.314 - to defer issuance of a patent.

Section  1.666(b) - for access to an interference settlement
agreement.

Section  3.81 - for a patent to issue to assignee, assignment
submitted after payment of the issue fee.

For filing a petition to institute a public use proceeding under Section 
1.292

1,510.00

For processing an application filed with a specification in a
non-English language (Section  1.52(d))

130.00

For filing a petition:

For the revival of an unavoidably abandoned application under 35 U.S.C.
111, 133, 364, or 371 or

For delayed payment of the issue fee under 35 U.S.C. 151:

By a small entity (Section  1.9(f))

55.00

By other than a small entity

110.00

For filing a petition:

For revival of an unintentionally abandoned application, or

For the unintentionally delayed payment of the fee for issuing a patent:

By a small entity (Section  1.9(f))

660.00

By other than a small entity

1

For requesting publication of a statutory invention registration prior
to the mailing of the first examiner's action pursuant to Section  1.104
- $920.00 reduced by the amount of the application basic filing fee
paid.

For requesting publication of a statutory invention registration after
the mailing of the first examiner's action pursuant to Section  1.104 -
$1,840.00 reduced by the amount of the application basic filing fee
paid.

For submission of an information disclosure statement under Section 
1.97(c)

240.00

For filing a petition to the Commissioner under a section listed below
which refers to this paragraph

50.00

Section  1.41 - to supply the name or names of the inventor or
inventors after the filing date without a cover sheet as prescribed by
Section  1.51(c)(1) in a provisional application.

Section  1.48 - for correction of inventorship in a provisional
application.

Section  1.53 - to accord a provisional application a filing date
or to convert a nonprovisional application filed under Section
 1.53(b) to a provisional application under Section  1.53(c).

For entry of a submission after final rejection under Section  1.129(a):

By a small entity (Section  1.9(f))        395.00
By other than a small entity               790.00

For each additional invention requested to be examined under Section 
1.129(b):

By a small entity (Section  1.9(f))        395.00
By other than a small entity               790.00

[Added 47 FR 41273, Sept. 17, 1982, effective Oct. 1, 1982 ; para. (h),
48 FR 2708, Jan. 20, 1983, effective Feb. 27, 1983; para. (h), 49 FR
13461, Apr. 4, 1984, effective June 4, 1984; para. (h), 49 FR 34724,
Aug. 31, 1984, effective Nov. 1, 1984; paras. (e), (g), (h) and (i), 49
FR 48416, Dec. 12, 1984, effective Feb. 11, 1985; paras. (h), (n) and
(c), 50 FR 9379, Mar. 7, 1985, effective May 8, 1985;50 FR 31824, Aug.
6, 1985, effective Oct. 5, 1985; paras. (a)- (m), 54 FR 6893, Feb. 15,
1989, 54 FR 9431, March 7, 1989, effective Apr. 17, 1989; para. (i)(1),
54 FR 47518, Nov. 15, 1989, effective Jan. 16, 1990; paras. (a)-(o), 56
FR 65142, Dec. 13, 1991, effective Dec. 16, 1991; para. (i)(1), 57 FR
2021, Jan. 17, 1992, effective March 16, 1992; para. (p) added, 57 FR
2021, Jan. 17, 1992, effective March 16, 1992; para. (i)(1), 57 FR
29642, July 6, 1992, effective Sept. 4, 1992; corrected 57 FR 32439,
July 22, 1992; paras. (b)-(g), (j), and (m)-(o), 57 FR 38190, Aug. 21,
1992, effective Oct. 1, 1992; para. (h), 58 FR 38719, July 20, 1993,
effective Oct. 1, 1993; paras. (b)-(g), (j) and (m)-(p), 59 FR 43736,
Aug. 25, 1994, effective Oct. 1, 1994; paras. (h) & (i) amended and
paras. (q)-(s) added, 67 FR 20195, Apr. 25, 1995, effective June 8,
1995; paras. (b)-(g), (j), (m)-(p), (r) & (s) amended, 60 FR 41018, Aug.
11, 1995, effective Oct. 1, 1995; paras. (b) - (g), (j), (m)-(p), (r)
and (s) amended, 61 FR 39585, July 30, 1996, effective Oct. 1, 1996;
paras. (b) - (g), (j), (m) - (p), (r) & (s) amended, 62 FR 40450, July
29, 1997, effective Oct. 1, 1997; paras. (a) - (d), (h), (i) & (q)
revised, paras. (e) - (g) reserved, 62 FR 53131, Oct. 10, 1997,
effective Dec. 1, 1997; para. (q) corrected, 62 FR 61235, Nov. 17, 1997,
effective Dec. 1, 1997]

---SECTION---1.18 Patent issue fees.

Issue fee for issuing each original or reissue patent, except a design
or plant patent:

By a small entity (Section  1.9(f))       660.00
By other than a small entity                   1

Issue fee for issuing a design patent:

By a small entity (Section  1.9(f))        225.00
By other than a small entity               450.00

Issue fee for issuing a plant patent:

By a small entity (Section  1.9(f))        335.00
By other than a small entity               670.00

[Added, 47 FR 41273, Sept. 17, 1982, effective Oct. 1, 1982; 50 FR
31824, Aug. 6, 1985, effective Oct. 5, 1985; revised, 54 FR 6893, Feb.
15, 1989, effective Apr. 17, 1989; revised, 56 FR 65142, Dec. 13. 1991,
effective Dec. 16, 1991; paras. (a)-(c), 57 FR 38190, Aug. 21, 1992,
effective Oct. 1, 1992; revised, 59 FR 43736, Aug. 25, 1994, effective
Oct. 1, 1994; amended, 60 FR 41018, Aug. 11, 1995, effective Oct. 1,
1995; amended, 61 FR 39585, July 30, 1996, effective Oct. 1, 1996;
amended, 62 FR 40450, July 29, 1997, effective Oct. 1, 1997]

---SECTION---1.19 Document supply fees.

The Patent and Trademark Office will supply copies of the following
documents upon payment of the fees indicated:

Uncertified copies of patents:

Printed copy of a patent, including a design patent, statutory invention
registration, or defensive publication document, except plant or
statutory invention registration containing color drawing:

Regular service

3.00

Overnight delivery to PTO Box or overnight fax

6.00

Expedited service for copy ordered by expedited mail or fax delivery
service and delivered to the customer within two workdays

25.00

Printed copy of a plant patent in color

15.00

Copy of a utility patent or statutory invention registration containing
color drawing (see Section  1.84(a)(2))

25.00

Certified and uncertified copies of Office documents:

Certified or uncertified copy of patent application as filed:

Regular service

15.00

Expedited regular service

30.00

Certified or uncertified copy of patent-related file wrapper and
contents

150.00

Certified or uncertified copy of Office records, per document except as
otherwise provided in this section

25.00

For assignment records, abstract of title and certification, per patent

25.00

Library service (35 U.S.C. 13): For providing to libraries copies of all
patents issued annually, per annum

50.00

For list of all United States patents and statutory invention
registrations in a subclass

3.00

Uncertified statement as to status of the payment of maintenance fees
due on a patent or expiration of a patent

10.00

Uncertified copy of a non-United States patent document, per document

25.00

To compare and certify copies made from Patent and Trademark Office
records but not prepared by the Patent and Trademark Office, per copy of
document . .

25.00

Additional filing receipts; duplicate; or corrected due to:

applicant error

25.00

[Added 47 FR 41273, Sept. 17, 1982, effective date Oct. 1, 1982; para.
(b), 49 FR 552, Jan. 4, 1984, effective date Apr. 1, 1984; paras. (f)
and (g) added, 49 FR 34724, Aug. 31, 1984, effective date Nov. 1, 1984;
paras. (a) and (c), 50 FR 9379, Mar. 7, 1985, effective date May 8,1985;
50 FR 31825, Aug. 6, 1985, effective date Oct. 5, 1985; revised, 54 FR
6893, Feb. 15, 1989; 54 FR 9432, March 7, 1989, effective Apr. 17, 1989,
revised 56 FR 65142, Dec. 13, 1991, effective Dec. 16, 1991; paras.
(b)(4), (f) and (h),57 FR 38190, Aug. 21, 1992, effective Oct.1, 1992;
para. (a)(3), 58 FR 38719, July 20, 1993, effective Oct. 1, 1993; paras.
(a)(1)(ii), (a)(1)(iii), (b)(1)(i), & (b)(1)(ii) amended, 60 FR 41018,
Aug. 11, 1995, effective Oct. 1, 1995; paras. (a)(2) and (a)(3) amended,
62 FR 40450, July 29, 1997, effective Oct. 1, 1997]

---SECTION---1.20 Post issuance fees.

For providing a certificate of correction for applicant's mistake
(Section  1.323)

100.00

Petition for correction of inventorship in patent (Section  1.324)

130.00

For filing a request for reexamination (Section  1.510(a))

2,520.00

For filing each statutory disclaimer (Section  1.321):

By a small entity (Section  1.9(f))

55.00

By other than a small entity

110.00

For maintaining an original or reissue patent, except a design or plant
patent, based on an application filed on or after December 12, 1980, in
force beyond four years; the fee is due by three years and six months
after the original grant:

By small entity (Section  1.9(f))

525.00

By other than a small entity

1

For maintaining an original or reissue patent, except a design or plant
patent, based on an application filed on or after December 12, 1980, in
force beyond eight years; the fee is due by seven years and six months
after the original grant:

By a small entity (Section  1.9(f))

1

By other than a small entity

2

For maintaining an original or reissue patent, except a design or plant
patent, based on an application filed on or after December 12, 1980, in
force beyond twelve years; the fee is due by eleven years and six months
after the original grant:

By a small entity (Section  1.9(f))

1

By other than a small entity

3

Surcharge for paying a maintenance fee during the six-month grace period
following the expiration of three years and six months, seven years and
six months, and eleven years and six months after the date of the
original grant of a patent based on an application filed on or after
December 12, 1980:

By a small entity (Section  1.9(f))

65.00

By other than a small entity

130.00

Surcharge for accepting a maintenance fee after expiration of a patent
for non-timely payment of a maintenance fee where the delay in payment
is shown to the satisfaction of the Commissioner to have been -

Unavoidable

700.00

Unintentional

1,640.00

For filing an application for extension of the term of a patent

Application for extension under Section  1.740

1,120.00

Initial application for interim extension under Section  1.790

420.00

Subsequent application for interim extension under Section  1.790

220.00

[Added 47 FR 41273, Sept. 17, 1982, effective date Oct. 1, 1982; paras.
(k), (l) and (m) added, 49 FR 34724, Aug. 31, 1984, effective date Nov.
1, 1984; paras. (c), (f), (g) and (m), 50 FR 9379, Mar. 7, 1985,
effective date May 8, 1985; 50 FR 31825, Aug. 6, 1985, effective date
Oct. 5, 1985; 51 FR 28057, Aug. 4, 1986; 52 FR 9394, Mar. 24, 1987;
paras. (a)-(n), 54 FR 6893, Feb. 15, 1989, 54 FR 8053, Feb. 24, 1989,
effective Apr. 17, 1989; revised 56 FR 65142, Dec. 13, 1991, effective
Dec. 16, 1991; paras. (a), (c), (e)-(g) and (i), 57 FR 38190, Aug. 21,
1992, effective Oct. 1, 1992; para. (i), 58 FR 44277, Aug. 20, 1993,
effective Sept. 20, 1993; paras. (c), (e)-(g), (i)(1) and (j), 59 FR
43736, Aug. 25, 1994, effective Oct. 1, 1994; para. (j) revised, 60 FR
25615, May 12, 1995, effective July 11, 1995; paras. (c), (e)-(g),
(i)(2), & (j)(1) amended, 60 FR 41018, Aug. 11, 1995, effective Oct. 1,
1995; paras. (a), (e) - (g), (i)(1), (i)(2), and (j)(1) - (j)(3)
amended, 61 FR 39585, July 30, 1996, effective Oct. 1, 1996; paras. (c),
(e) - (g), (i)(1), (i)(2), and (j)(1) - (j)(3) amended, 62 FR 40450,
July 29, 1997, effective Oct. 1, 1997]

---SECTION---1.21 Miscellaneous fees and charges.

The Patent and Trademark Office has established the following fees for
the services indicated:

Registration of attorneys and agents:

For admission to examination for registration to practice:

Application Fee (non-refundable) . . $40.00

Registration examination fee

310.00

On registration to practice

100.00

For reinstatement to practice

40.00

For certificate of good standing as an attorney or agent

10.00

Suitable for framing

20.00

For review of decision of the Director of Enrollment and Discipline
under Section  10.2(c)

130.00

For requesting regrading of an examination under Section  10.7(c ):

Regrading of morning section (PTO Practice and Procedure)

230.00

Regrading of afternoon section (Claim Drafting)

540.00

Deposit accounts:

For establishing a deposit account

10.00

Service charge for each month when the balance at the end of the month
is below $1,000

25.00

Service charge for each month when the balance at the end of the month
is below $300 for restricted subscription deposit accounts used
exclusively for subscription order of patent copies as issued

25.00

Disclosure document: For filing a disclosure document

10.00

Delivery box: Local delivery box rental, per annum

50.00

International type search reports: For preparing an international type
search report of an international type search made at the time of the
first action on the merits in a national patent application

40.00

[Reserved]

Self-service copy charge, per page

0.25

For recording each assignment, agreement, or other paper relating to the
property in a patent or application, per property

40.00

Publication in Official Gazette: For publication in the Official Gazette
of a notice of the availability of an application or a patent for
licensing or sale:

Each application or patent

25.00

Labor charges for services, per hour or fraction thereof

40.00

For items and services that the Commissioner finds may be supplied, for
which fees are not specified by statute or by this part, such charges as
may be determined by the Commissioner with respect to each such item or
service

Actual cost

For processing and retaining any application abandoned pursuant to
Section  1.53(f), unless the required basic filing fee (Section 
1.16) has been paid

130.00

For processing each check returned "unpaid" by a bank

50.00

For handling an application in which proceedings are terminated pursuant
to Section  1.53(e)

130.00

Marginal cost, paid in advance, for each hour of terminal session time,
including print time, using Automated Patent System full-text search
capabilities, prorated for the actual time used. The Commissioner may
waive the payment by an individual for access to the Automated Patent
System full-text search capability (APS-Text) upon a showing of need or
hardship and if such waiver is in the public interest

40.00

[Added 47 FR 41274, Sept. 17, 1982, effective date Oct. 1, 1982; paras.
(b) and (l), 49 FR 553, Jan. 4, 1984, effective date Apr. 1, 1984;
paras. (a)(5) and (6) added, 50 FR 5171, Feb. 6, 1985, effective date
Apr. 8, 1985; 50 FR 31825, Aug. 6, 1985, effective date Oct. 5, 1985;
paras. (a), (b)(1), (d)-(j), (l)-(m), 54 FR 6893, Feb. 15, 1989; 54 FR
8053, Feb. 24, 1989; 54 FR 9432, March 7, 1989, effective Apr. 17, 1989;
para. (n) added 54 FR 47518, Nov. 15, 1989, effective Jan. 16, 1990;
paras. (o)-(q) added 54 FR 50942, Dec.11, 1989, effective Feb. 12, 1990;
paras. (a)-(c), (e)-(h), (j)-(l) & (n) amended, 56 FR 65142, Dec. 13,
1991, effective Dec. 16, 1991; paras. (p) and (q) deleted, 56 FR 65142,
Dec. 13, 1991, effective Dec. 16, 1991; paras. (a)(1), (a)(5), (a)(6),
(b)(2), (b)(3), (e) and (i), 57 FR 38190, Aug. 21, 1992, effective Oct.
1, 1992; para. (p) added, 57 FR 38190, Aug. 21, 1992, effective Oct. 1,
1992; para. (p) deleted, 59 FR 43736, Aug. 25, 1994, effective Oct. 1,
1994; para. (l) amended, 60 FR 20195, Apr. 25, 1995, effective June 8,
1995; para. (a)(1) amended, 60 FR 41018, Aug. 11, 1995, effective Oct.
1, 1995; paras. (a)(1), (a)(3) and (a)(6) revised, 61 FR 39585, July 30,
1996, effective Oct. 1, 1996; paras. (a)(1)(ii), (a)(6), and (j)
amended, 62 FR 40450, July 29, 1997, effective Oct. 1, 1997; paras. (l)
& (n) revised, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.22 Fees payable in advance.

Patent and trademark fees and charges payable to the Patent and
Trademark Office are required to be paid in advance, that is, at the
time of requesting any action by the Office for which a fee or charge is
payable with the exception that under Section  1.53 applications for
patent may be assigned a filing date without payment of the basic filing
fee.

All patent and trademark fees paid to the Patent and Trademark Office
should be itemized in each individual application, patent, or other
proceeding in such a manner that it is clear for which purpose the fees
are paid.

[48 FR 2708, Jan. 20, 1983, effective Feb. 27, 1983]

---SECTION---1.23 Method of payment.

All payments of money required for Patent and Trademark Office fees,
including fees for the processing of international applications (Section 
1.445), should be made in U.S. specie, Treasury notes, national bank
notes, post office money orders, or by certified check. If sent in any
other form, the Office may delay or cancel the credit until collection
is made. Money orders and checks must be made payable to the
Commissioner of Patents and Trademarks. Remittances from foreign
countries must be payable and immediately negotiable in the United
States for the full amount of the fee required. Money sent by mail to
the Patent and Trademark Office will be at the risk of the sender;
letters containing money should be registered.

[43 FR 20462, May 11, 1978]

---SECTION---1.24 Coupons.

Coupons in denominations of three dollars, for the purchase of patents,
designs, defensive publications, statutory invention registrations, and
trademark registrations are sold by the Patent and Trademark Office for
the convenience of the general public; these coupons may not be used for
any other purpose. The three-dollar coupons are sold individually and in
books of 50 for $150.00. These coupons are good until used; they may be
transferred but cannot be redeemed.

[47 FR 41274, Sept. 17, 1982, effective Oct. 1, 1982; 48 FR 2708, Jan.
20, 1983, effective date Feb. 27, 1983; 50 FR 31825, Aug. 6, 1985,
effective Oct. 5, 1985; 51 FR 28057, Aug. 4, 1986; 56 FR 65142, Dec. 13,
1991, effective Dec. 16, 1991]

---SECTION---1.25 Deposit accounts.

For the convenience of attorneys, and the general public in paying any
fees due, in ordering services offered by the Office, copies of records,
etc. deposit accounts may be established in the Patent and Trademark
Office upon payment of the fee for establishing a deposit account
Section  1.21(b)(1)). A minimum deposit of $1,000 is required for paying
any fee due or in ordering any services offered by the Office. However,
a minimum deposit of $300 may be paid to establish a restricted
subscription deposit account used exclusively for subscription order of
patent copies as issued. At the end of each month, a deposit account
statement will be rendered. A remittance must be made promptly upon
receipt of the statement to cover the value of items or services charged
to the account and thus restore the account to its established normal
deposit value. An amount sufficient to cover all fees, services, copies,
etc., requested must always be on deposit. Charges to accounts with
insufficient funds will not be accepted. A service charge (Section 
1.21(b)(2)) will be assessed for each month that the balance at the end
of the month is below $1,000. For restricted subscription deposit
accounts, a service charge (Section  1.21(b)(3)) will be assessed for
each month that the balance at the end of the month is below $300.

Filing, issue, appeal, international-type search report, international
application processing, petition, and post-issuance fees may be charged
against these accounts if sufficient funds are on deposit to cover such
fees. A general authorization to charge all fees, or only certain fees,
set forth in Section Section  1.16 to 1.18 to a deposit account
containing sufficient funds may be filed in an individual application,
either for the entire pendency of the application or with respect to a
particular paper filed. An authorization to charge to a deposit account
the fee for a request for reexamination pursuant to Section  1.510 and
any other fees required in a reexamination proceeding in a patent may
also be filed with the request for reexamination. An authorization to
charge a fee to a deposit account will not be considered payment of the
fee on the date the authorization to charge the fee is effective as to
the particular fee to be charged unless sufficient funds are present in
the account to cover the fee.

[49 FR 553, Jan. 4, 1984, effective Apr. 1, 1984; 47 FR 41274, Sept. 17,
1982, effective Oct. 1,1982; 50 FR 31826, Aug. 6, 1985, effective Oct.
5, 1985]

---SECTION---1.26 Refunds.

Any fee paid by actual mistake or in excess of that required will be
refunded, but a mere change of purpose after the payment of money, as
when a party desires to withdraw an application, an appeal, or a request
for oral hearing, will not entitle a party to demand such a return.
Amounts of twenty-five dollars or less will not be returned unless
specifically requested within a reasonable time, nor will the payer be
notified of such amounts; amounts over twenty-five dollars may be
returned by check or, if requested, by credit to a deposit account.

[Reserved]

If the Commissioner decides not to institute a reexamination proceeding,
a refund of $1,690 will be made to the requester of the proceeding.
Reexamination requesters should indicate whether any refund should be
made by check or by credit to a deposit account.

[47 FR 41274, Sept. 17, 1982, effective Oct. 1, 1982; 50 FR 31826 Aug.
6, 1985, effective Oct. 5, 1985; para. (c), 54 FR 6893, Feb. 15, 1989,
effective Apr. 17, 1989; para. (c), 56 FR 65142, Dec. 13, 1991,
effective Dec. 16, 1991; paras. (a) and (c), 57 FR 38190, Aug. 21, 1992,
effective Oct. 1,1992; para. (a) revised, 62 FR 53131, Oct. 10, 1997,
effective Dec. 1, 1997]

---SECTION---1.27 Statement of status as small entity.

Any person seeking to establish status as a small entity (Section
 1.9(f) of this part) for purposes of paying fees in an application
or a patent must file a statement in the application or patent prior to
or with the first fee paid as a small entity. Such a statement need only
be filed once in an application or patent and remains in effect until
changed.

When establishing status as a small entity pursuant to paragraph (a) of
this section, any statement filed on behalf of an independent inventor
must be signed by the independent inventor except as provided in Section 
1.42, Section  1.43, or Section  1.47 of this part and must state that
the inventor qualifies as an independent inventor in accordance with
Section  1.9(c) of this part. Where there are joint inventors in an
application, each inventor must file a statement establishing status as
an independent inventor in order to qualify as a small entity. Where any
rights have been assigned, granted, conveyed, or licensed, or there is
an obligation to assign, grant, convey, or license, any rights to a
small business concern, a nonprofit organization, or any other
individual, a statement must be filed by the individual, the owner of
the small business concern, or an official of the small business concern
or nonprofit organization empowered to act on behalf of the small
business concern or nonprofit organization identifying their status. For
purposes of a statement under this paragraph, a license to a Federal
agency resulting from a funding agreement with that agency pursuant to
35 U.S.C. 202(c)(4) does not constitute a license as set forth in
Section  1.9 of this part.

Any statement filed pursuant to paragraph (a) of this section on behalf
of a small business concern must:

Be signed by the owner or an official of the small business concern
empowered to act on behalf of the concern;

State that the concern qualifies as a small business concern as defined
in Section  1.9(d); and

State that the exclusive rights to the invention have been conveyed to
and remain with the small business concern or, if the rights are not
exclusive, that all other rights belong to small entities as defined in
Section  1.9.

Where the rights of the small business concern as a small entity are not
exclusive, a statement must also be filed by the other small entities
having rights stating their status as such. For purposes of a statement
under this paragraph, a license to a Federal agency resulting from a
funding agreement with that agency pursuant to 35 U.S.C. 202(c)(4)
does not constitute a license as set forth in Section  1.9 of this part.

Any statement filed pursuant to paragraph (a) of this section on behalf
of a nonprofit organization must:

Be signed by an official of the nonprofit organization empowered to act
on behalf of the organization;

State that the organization qualifies as a nonprofit organization as
defined in Section  1.9(e) of this part specifying under which one of
Section  1.9(e)(1), (2), (3), or (4) of this part the organization
qualifies; and

State that exclusive rights to the invention have been conveyed to and
remain with the organization or if the rights are not exclusive that all
other rights belong to small entities as defined in Section  1.9 of this
part.

Where the rights of the nonprofit organization as a small entity are not
exclusive, a statement must also be filed by the other small entities
having rights stating their status as such. For purposes of a statement
under this paragraph, a license to a Federal agency pursuant to
35 U.S.C. 202(c)(4) does not constitute a conveyance of rights as
set forth in this paragraph.

[47 FR 40139, Sept. 10, 1982, added effective Oct. 1, 1982; para. (c)
added, 47 FR 43276, Sept. 30, 1982; paras. (b), (c), and (d), 49 FR 553,
Jan. 4, 1984, effective Apr. 1, 1984; revised, 62 FR 53131, Oct. 10,
1997, effective Dec.1, 1997]

---SECTION---1.28 Effect on fees of failure to establish status, or
change status, as a small entity.

The failure to establish status as a small entity (Section Section 
1.9(f) and 1.27 of this part) in any application or patent prior to
paying, or at the time of paying, any fee precludes payment of the fee
in the amount established for small entities. A refund pursuant to
Section  1.26 of this part, based on establishment of small entity
status, of a portion of fees timely paid in full prior to establishing
status as a small entity may only be obtained if a statement under
Section  1.27 and a request for a refund of the excess amount are filed
within two months of the date of the timely payment of the full fee. The
two-month time period is not extendable under Section  1.136. Status as
a small entity is waived for any fee by the failure to establish the
status prior to paying, at the time of paying, or within two months of
the date of payment of, the fee.

Status as a small entity must be specifically established in each
application or patent in which the status is available and desired.
Status as a small entity in one application or patent does not affect
any other application or patent, including applications or patents which
are directly or indirectly dependent upon the application or patent in
which the status has been established. The refiling of an application
under Section  1.53 as a continuation, division, or continuation-in-part
(including a continued prosecution application under Section  1.53(d)),
or the filing of a reissue application requires a new determination as
to continued entitlement to small entity status for the continuing or
reissue application. A nonprovisional application claiming benefit under
35 U.S.C. 119(e), 120, 121, or 365(c) of a prior application, or a
reissue application may rely on a statement filed in the prior
application or in the patent if the nonprovisional application or the
reissue application includes a reference to the statement in the prior
application or in the patent or includes a copy of the statement in the
prior application or in the patent and status as a small entity is still
proper and desired. The payment of the small entity basic statutory
filing fee will be treated as such a reference for purposes of this
section.

Once status as a small entity has been established in an application or
patent, the status remains in that application or patent without the
filing of a further statement pursuant to Section  1.27 of this part
unless the Office is notified of a change in status.

Once status as a small entity has been established in an application or
patent, fees as a small entity may thereafter be paid in that
application or patent without regard to a change in status until the
issue fee is due or any maintenance fee is due. Notification of any
change in status resulting in loss of entitlement to small entity status
must be filed in the application or patent prior to paying, or at the
time of paying, the earliest of the issue fee or any maintenance fee due
after the date on which status as a small entity is no longer
appropriate pursuant to Section  1.9 of this part. The notification of
change in status may be signed by the applicant, any person authorized
to sign on behalf of the assignee, or an attorney or agent of record or
acting in a representative capacity pursuant to Section  1.34(a) of this
part.

If status as a small entity is established in good faith, and fees as a
small entity are paid in good faith, in any application or patent, and
it is later discovered that such status as a small entity was
established in error or that through error the Office was not notified
of a change in status as required by paragraph (b) of this section, the
error will be excused upon payment of the deficiency between the amount
paid and the amount due. The deficiency is based on the amount of the
fee, for other than a small entity, in effect at the time the deficiency
is paid in full.

Any attempt to fraudulently (i) establish status as a small entity or
(ii) pay fees as a small entity shall be considered as a fraud practiced
or attempted on the Office.

Improperly and with intent to deceive (i) Establishing status as a small
entity, or (ii) Paying fees as a small entity shall be considered as a
fraud practiced or attempted on the Office.

[47 FR 40140, Sept. 10, 1982, added effective Oct. 1, 1982; para. (a),
49 FR 553, Jan. 4, 1984, effective Apr. 1, 1984; para. (d)(2), 57 FR
2021, Jan. 17, 1992, effective Mar. 16, 1992; para. (c) revised, 58 FR
54504, Oct. 22, 1993, effective Jan. 3, 1994; para. (a) revised, 60 FR
20195, Apr. 25, 1995, effective June 8, 1995; paras. (a) & (c) revised,
62 FR 53131, Oct. 10 1997, effective Dec. 1, 1997]

---SECTION---B National Processing Provisions

---SECTION---PROSECUTION OF APPLICATION AND APPOINTMENT OF ATTORNEY OR
AGENT

---SECTION---1.31 Applicants may be represented by a registered attorney
or agent.

An applicant for patent may file and prosecute his or her own case, or
he or she may be represented by a registered attorney, registered agent,
or other individual authorized to practice before the Patent and
Trademark Office in patent cases. See Section Section  10.6 and 10.9 of
this subchapter. The Patent and Trademark Office cannot aid in the
selection of a registered attorney or agent.

[50 FR 5171, Feb. 6,1985, effective Mar. 8, 1985]

---SECTION---1.32 [Reserved]

[Deleted 57 FR 29642, July 6, 1992, effective Sept. 4, 1992]

---SECTION---1.33 Correspondence respecting patent applications,
reexamination proceedings, and other proceedings.

The applicant, the assignee(s) of the entire interest (see Section
Section  3.71 and 3.73) or an attorney or agent of record (see
Section  1.34(b)) may specify a correspondence address to which
communications about the application are to be directed. All notices,
official letters, and other communications in the application will be
directed to the correspondence address or, if no such correspondence
address is specified, to an attorney or agent of record (see Section
 1.34(b)), or, if no attorney or agent is of record, to the
applicant, so long as a post office address has been furnished in the
application. Double correspondence with an applicant and an attorney or
agent, or with more than one attorney or agent, will not be undertaken.
If more than one attorney or agent is made of record and a
correspondence address has not been specified, correspondence will be
held with the one last made of record.

Amendments and other papers filed in the application must be signed by:

An attorney or agent of record appointed in compliance with Section 
1.34(b);

A registered attorney or agent not of record who acts in a
representative capacity under the provisions of Section  1.34(a);

The assignee of record of the entire interest, if there is an assignee
of record of the entire interest;

An assignee of record of an undivided part interest, and any assignee(s)
of the remaining interest and any applicant retaining an interest, if
there is an assignee of record of an undivided part interest; or

All of the applicants (Section Section  1.42, 1.43 and 1.47) for patent,
unless there is an assignee of record of the entire interest and such
assignee has taken action in the application in accordance with Section
Section  3.71 and 3.73.

All notices, official letters, and other communications for the patent
owner or owners in a reexamination proceeding will be directed to the
attorney or agent of record (see Section  1.34(b)) in the patent file at
the address listed on the register of patent attorneys and agents
maintained pursuant to Section Section  10.5 and 10.11 or, if no
attorney or agent is of record, to the patent owner or owners at the
address or addresses of record. Amendments and other papers filed in a
reexamination proceeding on behalf of the patent owner must be signed by
the patent owner, or if there is more than one owner by all the owners,
or by an attorney or agent of record in the patent file, or by a
registered attorney or agent not of record who acts in a representative
capacity under the provisions of Section  1.34(a). Double correspondence
with the patent owner or owners and the patent owner's attorney or
agent, or with more than one attorney or agent, will not be undertaken.
If more than one attorney or agent is of record and a correspondence
address has not been specified, correspondence will be held with the
last attorney or agent made of record.

A "correspondence address" or change thereto may be filed with the
Patent and Trademark Office during the enforceable life of the patent.
The "correspondence address" will be used in any correspondence relating
to maintenance fees unless a separate "fee address" has been specified.
See Section  1.363 for "fee address" used solely for maintenance fee
purposes.

[36 FR 12617, July 2, 1971; 46 FR 29181, May 29, 1981; para. (d) added,
49 FR 34724, Aug. 31, 1984, effective Nov. 1, 1984; para. (c), 50 FR
5171, Feb. 6, 1985, effective Mar. 8, 1985; paras. (a) & (b) revised, 62
FR 53131, Oct. 10 1997, effective Dec. 1, 1997]

---SECTION---1.34 Recognition for representation.

When a registered attorney or agent acting in a representative capacity
appears in person or signs a paper in practice before the Patent and
Trademark Office in a patent case, his or her personal appearance or
signature shall constitute a representation to the Patent and Trademark
Office that under the provisions of this subchapter and the law, he or
she is authorized to represent the particular party in whose behalf he
or she acts. In filing such a paper, the registered attorney or agent
should specify his or her registration number with his or her signature.
Further proof of authority to act in a representative capacity may be
required.

When an attorney or agent shall have filed his or her power of attorney,
or authorization, duly executed by the person or persons entitled to
prosecute an application or a patent involved in a reexamination
proceeding, he or she is a principal attorney of record in the case. A
principal attorney or agent, so appointed, may appoint an associate
attorney or agent who shall also then be of record.

[46 FR 29181, May 29, 1981; para. (a), 50 FR 5171, Feb. 6, 1985,
effective Mar. 6, 1985]

---SECTION---1.36 Revocation of power of attorney or authorization;
withdrawal of attorney or agent.

A power of attorney or authorization of agent may be revoked at any
stage in the proceedings of a case, and an attorney or agent may
withdraw, upon application to and approval by the Commissioner. An
attorney or agent, except an associate attorney or agent whose address
is the same as that of the principal attorney or agent, will be notified
of the revocation of the power of attorney or authorization, and the
applicant or patent owner will be notified of the withdrawal of the
attorney or agent. An assignment will not of itself operate as a
revocation of a power or authorization previously given, but the
assignee of the entire interest may revoke previous powers and be
represented by an attorney or agent of the assignee's own selection. See
Section  1.613(d) for withdrawal of an attorney or agent of record in an
interference.

[49 FR 48416, Dec. 12, 1984, effective Feb. 11, 1985]

---SECTION---WHO MAY APPLY FOR A PATENT

---SECTION---1.41 Applicant for patent.

A patent is applied for in the name or names of the actual inventor or
inventors.

The inventorship of a nonprovisional application is that inventorship
set forth in the oath or declaration as prescribed by Section  1.63,
except as provided for in Section  1.53(d)(4) and Section  1.63(d). If
an oath or declaration as prescribed by Section  1.63 is not filed
during the pendency of a nonprovisional application, the inventorship is
that inventorship set forth in the application papers filed pursuant to
Section  1.53(b), unless a petition under this paragraph accompanied by
the fee set forth in Section  1.17(i) is filed supplying or
changing the name or names of the inventor or inventors.

The inventorship of a provisional application is that inventorship set
forth in the cover sheet as prescribed by Section  1.51(c)(1). If a
cover sheet as prescribed by Section  1.51(c)(1) is not filed during the
pendency of a provisional application, the inventorship is that
inventorship set forth in the application papers filed pursuant to
Section  1.53(c), unless a petition under this paragraph accompanied by
the fee set forth in Section  1.17(q) is filed supplying or changing the
name or names of the inventor or inventors.

In a nonprovisional application filed without an oath or declaration as
prescribed by Section  1.63 or a provisional application filed without a
cover sheet as prescribed by Section  1.51(c)(1), the name or names of
person or persons believed to be the actual inventor or inventors should
be provided for identification purposes when the application papers
pursuant to Section  1.53(b) or (c) are filed. If no name of a person
believed to be an actual inventor is so provided, the application should
include an applicant identifier consisting of alphanumeric characters.

Unless the contrary is indicated the word "applicant" when used in these
sections refers to the inventor or joint inventors who are applying for
a patent, or to the person mentioned in Section Section  1.42, 1.43 or
1.47 who is applying for a patent in place of the inventor.

Any person authorized by the applicant may file an application for
patent on behalf of the inventor or inventors, but an oath or
declaration for the application (Section  1.63) can only be made in
accordance with Section  1.64.

A showing may be required from the person filing the application that
the filing was authorized where such authorization comes into question.

[48 FR 2708, Jan. 20, 1983; 48 FR 4285, Jan. 31, 1983; para. (a)
revised, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---1.42 When the inventor is dead.

In case of the death of the inventor, the legal representative
(executor, administrator, etc.) of the deceased inventor may make the
necessary oath or declaration, and apply for and obtain the patent.
Where the inventor dies during the time intervening between the filing
of the application and the granting of a patent thereon, the letters
patent may be issued to the legal representative upon proper
intervention.

[48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983]

---SECTION---1.43 When the inventor is insane or legally incapacitated.

In case an inventor is insane or otherwise legally incapacitated, the
legal representative (guardian, conservator, etc.) of such inventor may
make the necessary oath or declaration, and apply for and obtain the
patent.

[48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983]

---SECTION---1.44 Proof of authority.

In the cases mentioned in Section Section  1.42 and 1.43, proof of the
power or authority of the legal representative must be recorded in the
Patent and Trademark Office or filed in the application before the grant
of a patent.

---SECTION---1.45 Joint inventors.

Joint inventors must apply for a patent jointly and each must make the
required oath or declaration: neither of them alone, nor less than the
entire number, can apply for a patent for an invention invented by them
jointly, except as provided in Section  1.47.

Inventors may apply for a patent jointly even though

They did not physically work together or at the same time,

Each inventor did not make the same type or amount of contribution, or

Each inventor did not make a contribution to the subject matter of every
claim of the application.

If multiple inventors are named in a nonprovisional application, each
named inventor must have made a contribution, individually or jointly,
to the subject matter of at least one claim of the application and the
application will be considered to be a joint application under 35 U.S.C.
116. If multiple inventors are named in a provisional application, each
named inventor must have made a contribution, individually or jointly,
to the subject matter disclosed in the provisional application and the
provisional application will be considered to be a joint application
under 35 U.S.C. 116.

[paras. (b) and (c), 47 FR 41274, Sept. 17, 1982, effective Oct. 1,
1982; 48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983; 50 FR 9379,
Mar. 7, 1985, effective May 8, 1985; para. (c) revised, 60 FR 20195,
Apr. 25, 1995, effective June 8, 1995]

---SECTION---1.46 Assigned inventions and patents.

In case the whole or a part interest in the invention or in the patent
to be issued is assigned, the application must still be made or
authorized to be made, and an oath or declaration signed, by the
inventor or one of the persons mentioned in Section Section  1.42, 1.43,
or 1.47. However, the patent may be issued to the assignee or jointly to
the inventor and the assignee as provided in Section 3.81.

[48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983; 57 FR 29642, July
6, 1992, effective Sept. 4, 1992]

---SECTION---1.47 Filing when an inventor refuses to sign or cannot be
reached.

If a joint inventor refuses to join in an application for patent or
cannot be found or reached after diligent effort, the application may be
made by the other inventor on behalf of himself or herself and the
nonsigning inventor. The oath or declaration in such an application must
be accompanied by a petition including proof of the pertinent facts, the
fee set forth in Section  1.17(i) and the last known address of the
nonsigning inventor. The Patent and Trademark Office shall, except in a
continued prosecution application under Section  1.53(d), forward notice
of the filing of the application to the nonsigning inventor at said
address and publish notice of the filing of the application in the
Official Gazette. The nonsigning inventor may subsequently join in the
application on filing an oath or declaration complying with Section 
1.63.

Whenever all of the inventors refuse to execute an application for
patent, or cannot be found or reached after diligent effort, a person to
whom an inventor has assigned or agreed in writing to assign the
invention or who otherwise shows sufficient proprietary interest in the
matter justifying such action may make application for patent on behalf
of and as agent for all the inventors. The oath or declaration in such
an application must be accompanied by a petition including proof of the
pertinent facts, a showing that such action is necessary to preserve the
rights of the parties or to prevent irreparable damage, the fee set
forth in Section  1.17(i), and the last known address of all of the
inventors. The Office shall, except in a continued prosecution
application under Section  1.53(d), forward notice of the filing of the
application to all of the inventors at the addresses stated in the
application and publish notice of the filing of the application in the
Official Gazette. An inventor may subsequently join in the application
on filing an oath or declaration complying with Section  1.63.

[47 FR 41275, Sept. 17, 1982, effective Oct. 1, 1982; 48 FR 2709, Jan.
20, 1983, effective Feb. 27, 1983; revised, 62 FR 53131, Oct. 10, 1997,
effective Dec. 1, 1997]

---SECTION---1.48 Correction of inventorship in a patent application,
other than a reissue application.

If the inventive entity is set forth in error in an executed Section 
1.63 oath or declaration in an application, other than a reissue
application, and such error arose without any deceptive intention on the
part of the person named as an inventor in error or on the part of the
person who through error was not named as an inventor, the application
may be amended to name only the actual inventor or inventors. When the
application is involved in an interference, the amendment must comply
with the requirements of this section and must be accompanied by a
motion under Section  1.634. Such amendment must be accompanied by:

A petition including a statement from each person being added as an
inventor and from each person being deleted as an inventor that the
error in inventorship occurred without deceptive intention on his or her
part;

An oath or declaration by the actual inventor or inventors as required
by Section  1.63 or as permitted by Section Section  1.42, 1.43 or 1.47;

The fee set forth in Section  1.17(i); and

If an assignment has been executed by any of the original named
inventors, the written consent of the assignee (see Section
 3.73(b)).

If the correct inventors are named in a nonprovisional application,
other than a reissue application, and the prosecution of the application
results in the amendment or cancellation of claims so that fewer than
all of the currently named inventors are the actual inventors of the
invention being claimed in the application, an amendment must be filed
deleting the name or names of the person or persons who are not
inventors of the invention being claimed. When the application is
involved in an interference, the amendment must comply with the
requirements of this section and must be accompanied by a motion under
Section  1.634. Such amendment must be accompanied by:

A petition including a statement identifying each named inventor who is
being deleted and acknowledging that the inventor's invention is no
longer being claimed in the application; and

The fee set forth in Section  1.17(i).

If a nonprovisional application, other than a reissue application,
discloses unclaimed subject matter by an inventor or inventors not named
in the application, the application may be amended to add claims to the
subject matter and name the correct inventors for the application. When
the application is involved in an interference, the amendment must
comply with the requirements of this section and must be accompanied by
a motion under Section  1.634. Such amendment must be accompanied by:

A petition including a statement from each person being added as an
inventor that the amendment is necessitated by amendment of the claims
and that the inventorship error occurred without deceptive intention on
his or her part;

An oath or declaration by the actual inventor or inventors as required
by Section  1.63 or as permitted by Section Section  1.42, 1.43 or 1.47;

The fee set forth in Section  1.17(i); and

If an assignment has been executed by any of the original named
inventors, the written consent of the assignee (see Section  3.73(b)).

If the name or names of an inventor or inventors were omitted in a
provisional application through error without any deceptive intention on
the part of the omitted inventor or inventors, the provisional
application may be amended to add the name or names of the omitted
inventor or inventors. Such amendment must be accompanied by:

A petition including a statement that the inventorship error occurred
without deceptive intention on the part of the omitted inventor or
inventors; and

The fee set forth in Section  1.17(q).

If a person or persons were named as an inventor or inventors in a
provisional application through error without any deceptive intention on
the part of such person or persons, an amendment may be filed in the
provisional application deleting the name or names of the person or
persons who were erroneously named. Such amendment must be accompanied
by:

A petition including a statement by the person or persons whose name or
names are being deleted that the inventorship error occurred without
deceptive intention on the part of such person or persons;

The fee set forth in Section  1.17(q); and

If an assignment has been executed by any of the original named
inventors, the written consent of the assignee (see Section
 3.73(b)).

If the correct inventor or inventors are not named on filing a
nonprovisional application under Section  1.53(b) without an executed
oath or declaration under Section  1.63, the later submission of an
executed oath or declaration under Section  1.63 during the pendency of
the application will act to correct the earlier identification of
inventorship.

If the correct inventor or inventors are not named on filing a
provisional application without a cover sheet under Section  1.51(c)(1),
the later submission of a cover sheet under Section  1.51(c)(1) during
the pendency of the application will act to correct the earlier
identification of inventorship.

The Office may require such other information as may be deemed
appropriate under the particular circumstances surrounding the
correction of inventorship.

[48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983; 49 FR 48416, Dec.
12, 1984, effective Feb. 11, 1985; 50 FR 9379, Mar. 7, 1985, effective
May 8, 1985; para. (a), 57 FR 56446, Nov. 30, 1992, effective Jan. 4,
1993; revised, 60 FR 20195, Apr. 25, 1995, effective June 8, 1995;
revised, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

---SECTION---THE APPLICATION

---SECTION---1.51 General requisites of an application.

Applications for patents must be made to the Commissioner of Patents and
Trademarks.

A complete application filed under Section  1.53(b) comprises:

A specification as prescribed by 35 U.S.C. 112, including a claim
or claims, see Section Section  1.71 to 1.77;

An oath or declaration, see Section  1.63 and Section  1.68;

Drawings, when necessary, see Section Section  1.81 to 1.85; and

The prescribed filing fee, see Section  1.16.

A complete provisional application filed under Section  1.53(c)
comprises:

A cover sheet identifying:

The application as a provisional application,

The name or names of the inventor or inventors, (see Section
 1.41(a)(2)),

The residence of each named inventor,

The title of the invention,

The name and registration number of the attorney or agent (if
applicable),

The docket number used by the person filing the application to identify
the application (if applicable),

The correspondence address, and

The name of the U.S. Government agency and Government contract number
(if the invention was made by an agency of the U.S. Government or under
a contract with an agency of the U.S. Government);

A specification as prescribed by the first paragraph of 35 U.S.C.
112, see Section  1.71;

Drawings, when necessary, see Section Section  1.81 to 1.85; and

The prescribed filing fee, see Section  1.16.

Applicants are encouraged to file an information disclosure statement in
nonprovisional applications. See Section  1.97 and Section
 1.98. No information disclosure statement may be filed in a
provisional application.

[42 FR 5593, Jan. 28, 1977; paras. (a) and (c), 47 FR 41275, Sept. 17,
1982, effective Oct. 1, 1982; paras. (a) and (b), 48 FR 2709, Jan. 20,
1983, effective Feb. 27, 1983; para. (b), 57 FR 2021, Jan. 17, 1992,
effective Mar. 16, 1992; paras. (a) & (b) revised, 60 FR 20195, Apr. 25,
1995, effective June 8, 1995; revised, 62 FR 53131, Oct. 10, 1997,
effective Dec. 1, 1997]

---SECTION---1.52 Language, paper, writing, margins.

The application, any amendments or corrections thereto, and the oath or
declaration must be in the English language except as provided for in
Section  1.69 and paragraph (d) of this section, or be accompanied
by a translation of the application and a translation of any corrections
or amendments into the English language together with a statement that
the translation is accurate. All papers which are to become a part of
the permanent records of the Patent and Trademark Office must be legibly
written either by a typewriter or mechanical printer in permanent dark
ink or its equivalent in portrait orientation on flexible, strong,
smooth, non-shiny, durable, and white paper. All of the application
papers must be presented in a form having sufficient clarity and
contrast between the paper and the writing thereon to permit the direct
reproduction of readily legible copies in any number by use of
photographic, electrostatic, photo-offset, and microfilming processes
and electronic reproduction by use of digital imaging and optical
character recognition. If the papers are not of the required quality,
substitute typewritten or mechanically printed papers of suitable
quality will be required. See Section  1.125 for filing substitute
typewritten or mechanically printed papers constituting a substitute
specification when required by the Office.

Except for drawings, the application papers (specification, including
claims, abstract, oath or declaration, and papers as provided for in
this part) and also papers subsequently filed, must have each page
plainly written on only one side of a sheet of paper, with the claim or
claims commencing on a separate sheet and the abstract commencing on a
separate sheet. See Section Section  1.72(b) and 1.75(h). The
sheets of paper must be the same size and either 21.0 cm. by
29.7 cm. (DIN size A4) or 21.6 cm. by 27.9 cm. (8 1/2 by
11 inches). Each sheet must include a top margin of at least
2.0 cm. (3/4 inch), a left side margin of at least
2.5 cm. (1 inch), a right side margin of at least 2.0 cm.
(3/4 inch), and a bottom margin of at least 2.0 cm.
(3/4 inch), and no holes should be made in the sheets as submitted.
The lines of the specification, and any amendments to the specification,
must be 1 1/2 or double spaced. The pages of the specification including
claims and abstract must be numbered consecutively, starting with 1, the
numbers being centrally located above or preferably, below, the text.
See Section  1.84 for drawings.

Any interlineation, erasure, cancellation or other alteration of the
application papers filed should be made on or before the signing of any
accompanying oath or declaration pursuant to Section  1.63 referring to
those application papers and should be dated and initialed or signed by
the applicant on the same sheet of paper. Application papers containing
alterations made after the signing of an oath or declaration referring
to those application papers must be supported by a supplemental oath or
declaration under Section  1.67(c). After the signing of the oath or
declaration referring to the application papers, amendments may only be
made in the manner provided by Section  1.121.

An application may be filed in a language other than English. An English
translation of the non-English-language application, a statement that
the translation is accurate, and the fee set forth in Section  1.17(k)
are required to be filed with the application or within such time as may
be set by the Office.

[43 FR 20462, May 11, 1978; paras. (a) and (d), 47 FR 41275, Sept. 17,
1982, effective Oct. 1, 1982; para. (c), 48 FR 2709, Jan. 20, 1983,
effective Feb. 27, 1983; para. (d), 49 FR 554, Jan. 4, 1984, effective
Apr. 1, 1984; para. (c), 57 FR 2021, Jan. 17, 1992, effective Mar. 16,
1992; paras. (a) and (b) amended, 61 FR 42790, Aug. 19, 1996, effective
Sept. 23, 1996; paras. (a), (c) & (d) revised, 62 FR 53131, Oct. 10,
1997, effective Dec. 1, 1997]

---SECTION---1.53 Application number, filing date, and completion of
application.

Application number. Any papers received in the Patent and Trademark
Office which purport to be an application for a patent will be assigned
an application number for identification purposes.

Application filing requirements - Nonprovisional application. The filing
date of an application for patent filed under this section, except for a
provisional application under paragraph (c) of this section or a
continued prosecution application under paragraph (d) of this section,
is the date on which a specification as prescribed by 35 U.S.C. 112
containing a description pursuant to Section  1.71 and at least one
claim pursuant to Section  1.75, and any drawing required by Section 
1.81(a) are filed in the Patent and Trademark Office. No new matter may
be introduced into an application after its filing date. A continuing
application, which may be a continuation, divisional, or
continuation-in-part application, may be filed under the conditions
specified in 35 U.S.C. 120, 121 or 365(c) and Section  1.78(a).

A continuation or divisional application that names as inventors the
same or fewer than all of the inventors named in the prior application
may be filed under this paragraph or paragraph (d) of this section.

A continuation-in-part application (which may disclose and claim subject
matter not disclosed in the prior application) or a continuation or
divisional application naming an inventor not named in the prior
application must be filed under this paragraph.

Application filing requirements - Provisional application. The filing
date of a provisional application is the date on which a specification
as prescribed by the first paragraph of 35 U.S.C. 112, and any
drawing required by Section  1.81(a) are filed in the Patent and
Trademark Office. No amendment, other than to make the provisional
application comply with the patent statute and all applicable
regulations, may be made to the provisional application after the filing
date of the provisional application.

A provisional application must also include the cover sheet required by
Section  1.51(c)(1) or a cover letter identifying the application as a
provisional application. Otherwise, the application will be treated as
an application filed under paragraph (b) of this section.

An application for patent filed under paragraph (b) of this section may
be converted to a provisional application and be accorded the original
filing date of the application filed under paragraph (b) of this
section,

Provided that a petition requesting the conversion, with the fee set
forth in Section  1.17(q), is filed prior to the earliest of:

Abandonment of the application filed under paragraph (b) of this
section;

Payment of the issue fee on the application filed under paragraph (b) of
this section;

Expiration of twelve months after the filing date of the application
filed under paragraph (b) of this section; or

The filing of a request for a statutory invention registration under
Section  1.293 in the application filed under paragraph (b) of this
section.

The grant of any such petition will not entitle applicant to a refund of
the fees which were properly paid in the application filed under
paragraph (b) of this section.

A provisional application is not entitled to the right of priority under
35 U.S.C. 119 or 365(a) or Section  1.55, or to the benefit of
an earlier filing date under 35 U.S.C. 120, 121 or 365(c) or
Section  1.78 of any other application. No claim for priority under
Section  1.78(a)(3) may be made in a design application based on a
provisional application. No request under Section  1.293 for a statutory
invention registration may be filed in a provisional application. The
requirements of Section Section  1.821 through 1.825 regarding
application disclosures containing nucleotide and/or amino acid
sequences are not mandatory for provisional applications.

Application filing requirements - Continued prosecution (nonprovisional)
application.

A continuation or divisional application (but not a
continuation-in-part) of a prior nonprovisional application may be filed
as a continued prosecution application under this paragraph, provided
that:

The prior nonprovisional application is either:

Complete as defined by Section  1.51(b) ; or

The national stage of an international application in compliance with
35 U.S.C. 371; and

The application under this paragraph is filed before the earliest of:

Payment of the issue fee on the prior application, unless a petition
under Section  1.313(b)(5) is granted in the prior application;

Abandonment of the prior application; or

Termination of proceedings on the prior application.

The filing date of a continued prosecution application is the date on
which a request on a separate paper for an application under this
paragraph is filed. An application filed under this paragraph:

Must identify the prior application;

Discloses and claims only subject matter disclosed in the prior
application;

Names as inventors the same inventors named in the prior application on
the date the application under this paragraph was filed, except as
provided in paragraph (d)(4) of this section;

Includes the request for an application under this paragraph, will
utilize the file jacket and contents of the prior application, including
the specification, drawings and oath or declaration from the prior
application, to constitute the new application, and will be assigned the
application number of the prior application for identification purposes;
and

Is a request to expressly abandon the prior application as of the filing
date of the request for an application under this paragraph.

The filing fee for a continued prosecution application filed under this
paragraph is:

The basic filing fee as set forth in Section  1.16; and

Any additional Section  1.16 fee due based on the number of claims
remaining in the application after entry of any amendment accompanying
the request for an application under this paragraph and entry of any
amendments under Section  1.116 unentered in the prior application
which applicant has requested to be entered in the continued prosecution
application.

An application filed under this paragraph may be filed by fewer than all
the inventors named in the prior application, provided that the request
for an application under this paragraph when filed is accompanied by a
statement requesting deletion of the name or names of the person or
persons who are not inventors of the invention being claimed in the new
application. No person may be named as an inventor in an application
filed under this paragraph who was not named as an inventor in the prior
application on the date the application under this paragraph was filed,
except by way of a petition under Section  1.48.

Any new change must be made in the form of an amendment to the prior
application as it existed prior to the filing of an application under
this paragraph. No amendment in an application under this paragraph (a
continued prosecution application) may introduce new matter or matter
that would have been new matter in the prior application. Any new
specification filed with the request for an application under this
paragraph will not be considered part of the original application
papers, but will be treated as a substitute specification in accordance
with Section  1.125.

The filing of a continued prosecution application under this paragraph
will be construed to include a waiver of confidentiality by the
applicant under 35 U.S.C. 122 to the extent that any member of the
public, who is entitled under the provisions of Section  1.14 to access
to, copies of, or information concerning either the prior application or
any continuing application filed under the provisions of this paragraph,
may be given similar access to, copies of, or similar information
concerning the other application or applications in the file jacket.

A request for an application under this paragraph is the specific
reference required by 35 U.S.C. 120 to every application assigned
the application number identified in such request. No amendment in an
application under this paragraph may delete this specific reference to
any prior application.

In addition to identifying the application number of the prior
application, applicant should furnish in the request for an application
under this paragraph the following information relating to the prior
application to the best of his or her ability:

Title of invention;

Name of applicant(s); and

Correspondence address.

Envelopes containing only requests and fees for filing an application
under this paragraph should be marked "Box CPA." Requests for an
application under this paragraph filed by facsimile transmission should
be clearly marked "Box CPA."

Failure to meet filing date requirements.

If an application deposited under paragraph (b), (c), or (d) of this
section does not meet the requirements of such paragraph to be entitled
to a filing date, applicant will be so notified, if a correspondence
address has been provided, and given a time period within which to
correct the filing error.

Any request for review of a notification pursuant to paragraph (e)(1) of
this section, or a notification that the original application papers
lack a portion of the specification or drawing(s), must be by way of a
petition pursuant to this paragraph. Any petition under this paragraph
must be accompanied by the fee set forth in Section  1.17(i) in an
application filed under paragraphs (b) or (d) of this section, and the
fee set forth in Section  1.17(q) in an application filed under
paragraph (c) of this section. In the absence of a timely (Section 
1.181(f)) petition pursuant to this paragraph, the filing date of an
application in which the applicant was notified of a filing error
pursuant to paragraph (e)(1) of this section will be the date the filing
error is corrected.

If an applicant is notified of a filing error pursuant to paragraph
(e)(1) of this section, but fails to correct the filing error within the
given time period or otherwise timely (Section  1.181(f)) take
action pursuant to this paragraph, proceedings in the application will
be considered terminated. Where proceedings in an application are
terminated pursuant to this paragraph, the application may be disposed
of, and any filing fees, less the handling fee set forth in Section
 1.21(n), will be refunded.

Completion of application subsequent to filing - Nonprovisional
(including continued prosecution) application. If an application which
has been accorded a filing date pursuant to paragraph (b) of this
section, including a continuation, divisional, or continuation-in-part
application, does not include the appropriate filing fee or an oath or
declaration by the applicant pursuant to Section  1.63 or Section 
1.175, or, if an application which has been accorded a filing date
pursuant to paragraph (d) of this section does not include the
appropriate filing fee, applicant will be so notified, if a
correspondence address has been provided, and given a period of time
within which to file the fee, oath or declaration, and the surcharge as
set forth in Section  1.16(e) in order to prevent abandonment of the
application. See Section  1.63(d) concerning the submission of a copy of
the oath or declaration from the prior application for a continuation or
divisional application. If the required filing fee is not timely paid,
or if the processing and retention fee set forth in Section  1.21(l) is
not paid within one year of the date of mailing of the notification
required by this paragraph, the application may be disposed of. The
notification pursuant to this paragraph may be made simultaneously with
any notification pursuant to paragraph (e) of this section. If no
correspondence address is included in the application, applicant has two
months from the filing date to file the basic filing fee, the oath or
declaration in an application under paragraph (b) of this section, and
the surcharge as set forth in Section  1.16(e) in order to prevent
abandonment of the application; or, if no basic filing fee has been
paid, one year from the filing date to pay the processing and retention
fee set forth in Section  1.21(l) to prevent disposal of the
application.

Completion of application subsequent to filing -Provisional application.
If a provisional application which has been accorded a filing date
pursuant to paragraph (c) of this section does not include the
appropriate filing fee or the cover sheet required by Section
 1.51(c)(1), applicant will be so notified, if a correspondence
address has been provided, and given a period of time within which to
file the fee, cover sheet, and the surcharge as set forth in Section 
1.16(l) in order to prevent abandonment of the application. If the
required filing fee is not timely paid, the application may be disposed
of. The notification pursuant to this paragraph may be made
simultaneously with any notification pursuant to paragraph (e) of this
section. If no correspondence address is included in the application,
applicant has two months from the filing date to file the basic filing
fee, cover sheet, and the surcharge as set forth in Section  1.16(l) in
order to prevent abandonment of the application.

Subsequent treatment of application - Nonprovisional (including
continued prosecution) application. An application for a patent filed
under paragraphs (b) or (d) of this section will not be placed on the
files for examination until all its required parts, complying with the
rules relating thereto, are received, except that certain minor
informalities may be waived subject to subsequent correction whenever
required.

Subsequent treatment of application - Provisional application. A
provisional application for a patent filed under paragraph (c) of this
section will not be placed on the files for examination and will become
abandoned no later than twelve months after its filing date pursuant to
35 U.S.C. 111(b)(1).

Filing date of international application. The filing date of an
international application designating the United States of America is
treated as the filing date in the United States of America under PCT
Article 11(3), except as provided in 35 U.S.C. 102(e).

[48 FR 2709, Jan. 20, 1983, effective Feb. 27, 1983; paras. (b) and (d),
49 FR 554, Jan. 4, 1984, effective Apr. 1, 1984; para. (c), 50 FR 31826,
Aug. 6, 1985, effective Oct. 5, 1985; paras. (c) and (d), 53 FR 47808,
Nov. 28, 1988, effective Jan. 1, 1989; paras. (b) and (c), 54 FR 47518,
Nov. 15, 1989, effective Jan. 16, 1990; paras. (a)-(e) revised, 60 FR
20195, Apr. 25, 1995, effective June 8, 1995; revised, 62 FR 53131, Oct.
10 ,1997, effective Dec. 1, 1997; para. (d) revised, 63 FR 5734, Feb. 4,
1998, effective Feb. 4, 1998]

---SECTION---1.54 Parts of application to be filed together; filing