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§ 5.33 [Reserved] - Appendix R Patent Rules

§ 5.33 [Reserved]

[49 FR 13463, Apr. 4, 1984; amended, 61 FR 56439, Nov. 1, 1996, effective Dec. 2, 1996; removed and reserved, 62 FR 53131, Oct. 10, 1997, effective Dec. 1, 1997]

Index I - RULES RELATING TO PATENTS

A

Abandoned applications:

Abandonment by failure to reply... 1.135
Abandonment during interference... 41.127
Abandonment for failure to pay issue fee... 1.316
Express abandonment... 1.138
Processing and retention fee... 1.21(1)
Referred to in issued patents... 1.14
Revival of... 1.137
When open to public inspection... 1.14

Abandonment of application. (See Abandoned applications.)
Abstract of the disclosure... 1.72, 1.77, 1.163
Access to pending applications (limited)... 1.14
Action by applicant... 1.111 - 1.138
Addresses for correspondence with the United States Patent and Trademark Office... 1.1

Board of Patent Appeals and Interferences... 1.1(a)(1),... 41.10
Deposit account replenishment... 1.25(c)(3),... 1.25(c)(4)
Director of the United States Patent and Trademark Office... 1.1(a)
FOIA Officer... 102.1(b), 102.4(a)
Generally... 1.1(a)
Licensing and Review... 5.1(a)
Office of the General Counsel... 1.1(a)(3),... 102.10(b), 102.29(b)
Office of the Solicitor... 1.1(a)(3),
Mail Stops

Mail Stop 4... 150.6
Mail Stop 8... 1.1(a)(3)
Mail Stop 24... 4.3(c)
Mail Stop Assignment Recordation Services... 1.1(a)(4), 3.27
Mail Stop CPA... 1.53(d)(9)
Mail Stop Document Services... 1.1(a)(4)
Mail Stop Ex parte Reexam... 1.1(c)(1)
Mail Stop Inter partes Reexam... 1.1(c)(2)
Mail Stop Interference... 41.10(b)
Mail Stop M Correspondence... 1.1(d)(2)
Mail Stop OED... 4.6
Mail Stop Patent Ext... 1.1(e)
Mail Stop PCT... 1.1(b), 1.417, 1.434(a), 1.480(b)

Maintenance fee payments... 1.1(d)(1)
Patent correspondence... 1.1(a)(1)
Privacy Officer... 102.23(a), 102.24(a)
Trademark correspondence... 2.190

After appeal... 41.33
As evidence in a contested case... 41.154
To disqualify commonly owned patent or published application as prior art ... 1.130
Traversing rejections or objections... 1.132

Amendment after allowance... 1.312
Application abandoned for nonpayment of issue fee... 1.316
Deferral of issuance... 1.314
Delayed payment of issue fee... 1.137
Delivery of patent... 1.315
Failure to pay issue fee... 1.137(c), 1.316
Issuance of patent... 1.314
Notice of allowance... 1.311
Patent to issue upon payment of issue fee... 1.311, 1.314
Patent to lapse if issue fee is not paid in full... 1.317
Reasons for... 1.104
Withdrawal from issue... 1.313

Adding or substituting claims... 1.121
After appeal... 41.33, 41.63
After decision on appeal, based on new rejection of Board of Patent Appeals and Interferences... 41.50(b)(1)
After final action... 1.116
After final action (transitional procedures)... 1.129
After notice of allowance... 1.312
Copying claim of another application for interference... 41.202
Copying claim of issued patent... 41.202
Deletions and insertions... 1.121
Drawings... 1.121
Manner of making... 1.121
Not covered by original oath... 1.67
Numbering of claims... 1.126
Of amendments... 1.121
Of claims... 1.121
Of disclosure... 1.121
Of drawing... 1.121
Of specification... 1.121
Paper and writing... 1.52
Petition from refusal to admit... 1.127
Preliminary... 1.115
Proposed during interference... 41.121
Provisional application... 1.53(c)
Reexamination proceedings... 1.121(j), 1.530, 1.941
Reissue... 1.121(i), 1.173
Requisites of... 1.33, 1.111, 1.116, 1.121, 1.125
Right to amend... 1.111, 1.116, 1.127
Signature to... 1.33
Substitute specification... 1.125
Time for... 1.134
To applications in interference... 41.121
To correct inaccuracies... 1.121
To correspond to original drawing or specification... 1.121
To reissues.... 1.173
To save from abandonment... 1.135

Civil Actions under 35 U.S.C. 145, 146, 306... 1.303, 1.304
To the Board of Patent Appeals and Interferences... 41.30-41.54

Affidavits after appeal... 41.33
Brief... 41.37
Decision/Action by Board... 41.50

Return of jurisdiction to examiner... 1.197(a)
Termination of proceedings... 1.197(b)

To Court of Appeals for the Federal Circuit:

Fee provided by rules of court... 1.301
From Board of Patent Appeals and Interferences... 1.301
Notice and reasons of appeal... 1.302
Time for filing notice of appeal... 1.302, 1.304

Actual inventor or inventors to make application for patent... 1.41, 1.45
Assignee... 1.47(b)
Change of (see Correction of inventorship)
Correspondence address... 1.33
Daytime telephone number... 1.33
Deceased or insane inventor... 1.42, 1.43
Executor or administrator... 1.42
In a continued prosecution application... 1.53(b)(1), 1.53(d)(4)
In an international application... 1.421-1.425
Informed of application number... 1.54
Inventorship in a provisional application... 1.41(a)(2)
Mailing address and residence of inventors may be provided in oath/declaration or in application data sheet... 1.63, 1.76
May be represented by an attorney or agent... 1.31
Person making oath or declaration... 1.64
Personal attendance unnecessary... 1.2
Required to conduct business with decorum and courtesy... 1.3
Required to report assistance received... 1.4
Who may apply for a patent... 1.41-1.48

Access to... 1.14
Acknowledgment of filing... 1.54
Alteration after execution... 1.52
Alteration before execution... 1.52
Application number and filing date... 1.54
Arrangement... 1.77
Compact disc submissions (see Electronic documents)
Confidentiality of applications... 1.14
Continuation or division, reexecution not required... 1.63
Continued prosecution application... 1.53(d)

Filed by facsimile... 1.6, 1.8

Copies of, furnished to applicants... 1.59
Cross-references to related applications... 1.78
Deceased or insane inventor... 1.42, 1.43
Declaration... 1.68
Duty of disclosure... 1.56
Examined only when complete... 1.53
Filed by other than inventor... 1.42, 1.43, 1.47,... 1.64, 1.421(b)
Filing date... 1.53
Filing requirements... 1.53
Foreign language oath or declaration... 1.69
Formulas and tables... 1.58
General requisites... 1.51
Identification required in letters concerning... 1.5
Incomplete papers not filed for examination... 1.53
Interlineations, etc., to be indicated... 1.52
Involving national security... 5.1
Language, paper, writing, margin... 1.52
Later filing of oath and filing fee... 1.53
Missing pages when application filed... 1.53(e)
Must be made by actual inventor, with exceptions... 1.41, 1.46, 1.47
Naming of inventors:

Application data sheet... 1.76(b)(1)
In a continued prosecution application... 1.53(d)(4)
In a provisional application... 1.41(a)(2), 1.51(c)(1), 1.53(c)(1)
In an international application... 1.421

National stage... 1.497

Inconsistencies between application data sheet and oath or declaration... 1.76(d)
Joint inventors... 1.45
Oath/declaration.... 1.63(a)(2)

Correspondence held with assignee(s) of entire interest... 3.71, 3.73
Establishing ownership... 3.73(b)
May conduct prosecution of application... 3.71, 3.73
May make application on behalf of inventor(s)... 1.47(b)
May take action in Board proceeding... 41.9
Must consent to application for reissue of patent... 1.171, 1.172
Partial assignee(s)... 1.46, 3.71, 3.73, 3.81

Abstracts of title, fee for... 1.19(b)(5)
Conditional assignments... 3.56
Cover sheet required... 3.28, 3.31
Corrections... 3.34
Date of receipt is date of record... 3.51
Definitions... 1.332
Effect of recording... 3.54
Fees... 1.21(h)
Formal requirements... 3.21-3.28
If recorded before payment of issue fee, patent may issue to assignee... 3.81
Joint research agreements... 3.11(c), 3.31(g)
Mailing address for submitting documents... 1.1(a)(4), 3.27
Must be recorded in Patent and Trademark Office to issue patent to assignee... 3.81
Must identify patent or application... 3.21
Orders for copies of... 1.12
Patent may issue to assignee... 3.81
Recording of assignments... 3.11
Records open to public inspection... 1.12
Requirements for recording... 3.21-3.41
What will be accepted for recording... 3.11

Acting in representative capacity... 1.33, 1.34
Assignment will not operate as a revocation of power... 1.36
Certificate of good standing... 1.21(a)
Complaints... 4.6
Fee on admission... 1.21(a)
Office cannot aid in selection of... 1.31
Personal interviews with examiners... 1.133
Power of attorney... 1.32
Power to inspect... 1.14
Representative capacity... 1.33, 1.34
Required to conduct business with decorum and courtesy... 1.3
Revocation of power... 1.36(a)
Signature and certificate of attorney... 1.4, 10.18
Withdrawal of... 1.36(b), 41.5

Balance in deposit account... 1.25
Basic filing fee... 1.16
Benefit of earlier application... 1.78
Bill in equity. (See Civil action.)
Biological material. (See Deposit of biological material.)
Board of Patent Appeals and Interferences. (See Appeal to Board of Patent Appeals and Interferences.)
Briefs:

In petitions to Director... 1.181
On appeal to Board... 41.37

Certificate of correction... 1.322, 1.323

Fees... 1.20
Mistakes not corrected... 1.325

Fee for certification... 1.19(b)

Amendment of... 1.121
Commence on separate sheet or electronic page... 1.52(b), 1.75(h)
Conflicting, same applicant or owner... 1.78
Date of invention of... 1.110
Dependent... 1.75
Design patent... 1.153
May be in dependent form... 1.75
More than one permitted... 1.75
Multiple dependent... 1.75
Must conform to invention and specification... 1.75
Notice of rejection of... 1.104
Numbering of... 1.126
Part of complete application... 1.51
Plant patent.... 1.164
Rejection of... 1.104
Required... 1.75
Separate from other parts of application... 1.75(h)
Twice rejected before appeal... 41.31

Fee... 1.17
Suspension of action after... 1.103

Suspension of action in... 1.103

In a nonprovisional application... 1.48

Before filing oath/declaration... 1.41(a)(1), 1.76(c)
By filing oath/declaration... 1.76(d)(3)
When filing a continuation or divisional application... 1.63(d)
When filing a continued prosecution application... 1.53(d)(4)

In a provisional application... 1.48

By filing a cover sheet... 1.48(f)(2)
Without filing a cover sheet... 1.41(a)(2)

In a reexamination proceeding... 1.530
In an international application... 1.472

When entering the national stage... 1.497

In an issued patent... 1.324
In other than a reissue application... 1.48
Inconsistencies between application data sheet and oath or declaration... 1.76(d)
Motion to correct inventorship in an interference... 41.121(a)(2)
Supplemental application data sheet(s)... 1.76(c)
Correspondence:

Address:

Change of correspondence address... 1.33(a)
Established by the office if more than one is specified... 1.33(a)
Of the U.S. Patent and Trademark Office... 1.1

Business with the Office to be transacted by... 1.2
Discourteous communications not entered... 1.3
Double, with different parties in interest not allowed... 1.33
Duplicate copies disposed of... 1.4
Facsimile transmission... 1.6(d)
Held with attorney or agent... 1.33
Identification of application or patent in letter relating to... 1.5
Involving national security... 5.1
May be held exclusively with assignee(s) of entire interest... 3.71
Nature of... 1.4
Patent owners in reexamination... 1.33(c)
Receipt of letters and papers... 1.6
Rules for conducting in general... 1.1-1.8
Separate letter for each subject or inquiry... 1.4
Signature requirements... 1.4(d)
When no attorney or agent... 1.33
With attorney or agent after power or authorization is filed... 1.33

Defined... 1.32(a)(4)
Required to establish a Fee Address... 1.363(c)

Date of invention of subject matter of individual claims... 1.110
Day for taking any action or paying any fee falling on Saturday, Sunday, or Federal holiday... 1.7
Death or insanity of inventor... 1.42, 1.43

In an international application... .1.422, 1.423

Return of jurisdiction to examiner... 1.197(a)
Termination of proceedings... 1.197(b)

Foreign language... 1.69
In lieu of oath... 1.68
In patent application... 1.68

Assignment... 3.1
Customer Number... 1.32(a)(4)
Document... 3.1
Federal holiday within the District of Columbia... 1.9
National and international applications... 1.9
National security classified... 1.9
Nonprofit organization... 1.27
Person (for small entity purposes)... 1.27
Power of Attorney... 1.32(a)(1)
Principal... 1.32(a)(2)
Published application... 1.9
Recorded document... 3.1
Revocation... 1.32(a)(3)
Service of process... 15 CFR Part 15
Small business concern... 1.27
Small entity... 1.27
Terms under Patent Cooperation Treaty... 1.401
Testimony by employees... 15 CFR Part 15a

Fees... 1.21(b)

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

Certificate of officer to accompany... 41.157(e)
Original filed as exhibit... 41.157(e)
Person before whom taken... 41.157(e)
Transcripts of... 41.154(a), 41.157

Arrangement of application elements... 1.154
Claim... 1.153
Drawing... 1.152
Expedited examination... 1.155
Filing fee... 1.16(b)
Issue fee... 1.18(b)
Oath... 1.153
Rules applicable... 1.151
Title, description and claim... 1.153

Address of... 1.1
Availability of decisions by... 1.14
Initiates ex parte reexamination... 1.520

Fee... 1.20(d)
Requirements of... 1.321
Terminal... 1.321

Amendment of... 1.121
Arrangement of views... 1.84(i)
Arrows... 1.84(r)
Character of lines... 1.84(l)
Color... 1.6(d)(4), 1.84(a)(2), 1.165(b)
Content of drawing... 1.83
Copyright notice... 1.84(s)
Correction... 1.84(w), 1.85(c), 1.121
Cost of copies of... 1.19
Design application... 1.152
Figure for front page... 1.76, 1.84(j)
Filed with application... 1.81
Graphics... 1.84(d)
Hatching and shading... 1.84(m)
Holes... 1.84(x)
Identification... 1.84(c)
If of an improvement, must show connection with old structure... 1.83
Informal drawings... 1.85
Ink... 1.84(a)(1)
Lead lines... 1.84(q)
Legends... 1.84(o)
Letters... 1.84(p)
Location of names... 1.84(c)
Mask work notice... 1.84(s)
Must be described in and referred to specification... 1.74
Must show every feature of the invention... 1.83
No return or release... 1.85(b)
Numbering of sheets... 1.84(t)
Numbering of views... 1.84(u)
Numbers... 1.84(p)
Original should be retained by applicant... 1.81(a)
Paper... 1.84(e)
Part of application papers... 1.52
Photographs... 1.84(b)
Plant patent application... 1.81, 1.165
Reference characters... 1.74, 1.84(p)
Reissue... 1.173
Release not permitted... 1.85(b)
Required by law when necessary for understanding... 1.81
Scale... 1.84(k)
Security markings... 1.84(v)
Shading... 1.84(m)
Size of sheet and margins... 1.84(f),(g)
Standards for drawings... 1.84
Symbols... 1.84(n)
Views... 1.84(h)
When necessary, part of complete application... 1.51

Patent term extension... 1.765

Election of species... 1.146
Electronic documents:

Compact disc submissions:

Amino acid sequences... 1.821, 1.823, 1.825
Computer program listings... 1.96
Incorporation by reference in specification... 1.52
Nuclide acid sequences... 1.821, 1.823, 1.825
Requirements... 1.52
Submitted as part of permanent record... 1.52, 1.58, 1.96, 1.821, 1.823, 1.825
Tables... 1.58

Advancement of examination... 1.102
As to form... 1.104
Citation of references... 1.104
Completeness of examiner's action... 1.104
Deferral of... 1.103
Examiner's action... 1.104
International-type search... 1.104
Nature of examination... 1.104
Reasons for allowance... 1.104
Reconsideration after rejection if requested... 1.111
Reissue... 1.176
Rejection of claims... 1.104
Request for continued examination... 1.114
Requirements for information by examiner... 1.105
Suspension of... 1.103

Answers on appeal... 41.39
Complaints against... 1.3
Interviews with... 1.133

Date of receipt of... 1.6
Petition in regard to... 1.10

Due to examination delay under the URAA (35 U.S.C. 154)... 1.701
Due to regulatory review period (35 U.S.C. 156):

Applicant for... 1.730
Application for... 1.740
Calculation of term:

Animal drug product... 1.778
Food or color additive... 1.776
Human drug product... 1.775
Medical device... 1.777
Veterinary biological product... 1.779

Certificate of extension... 1.780
Conditions for... 1.720
Correction of informalities... 1.740
Determination of eligibility... 1.750
Duty of disclosure... 1.765
Filing date of application... 1.741
Formal requirements... 1.740
Incomplete application... 1.741
Interim extension under 35 U.S.C. 156(d)(5)... 1.790
Interim extension under 35 U.S.C. 156(e)(2)... 1.760
Multiple applications... 1.785
Order granting interim extension... 1.780
Patents subject to... 1.710
Signature requirements for application... 1.730
Termination of interim extension granted under 35 U.S.C. 156(d)(5)... 1.791
Withdrawal of application... 1.770
Extension of time... 1.136

Fees... 1.17
Interference proceedings... 41.4

Facsimile transmission... 1.6(d), 1.8
Federal holiday within the District of Columbia... 1.9(h)
Federal Register, publication of rules in... 1.351
Fees and payment of money:

Credit card... 1.23
Deposit accounts... 1.25
Document supply fees... 1.19
Extension of time... 1.17
Fee on appeal to the Court of Appeals for the Federal Circuit provided by rules of court... 1.301
Fees payable in advance... 1.22
Foreign filing license petition... 1.17(g)
For international-type search report... 1.21(e)
Itemization required... 1.22
Method of payment... 1.23
Money by mail at risk of sender... 1.23
Money paid by mistake... 1.26
Necessary for application to be complete... 1.51
Petition fees... 1.17, 1.181, 41.20
Post allowance ... 1.18
Processing fees... 1.17
Reexamination request... 1.20(c)
Refunds... 1.26
Relating to international applications... 1.25(b), 1.445, 1.481, 1.482, 1.492
Schedule of fees and charges... 1.16-1.21

Appeal from... 41.31
Response to... 1.113, 1.116
When and how given... 1.113

License to file... 5.11-5.25

Taking oath in... 1.66
Taking testimony in... 41.156(b)

Evaluation of request... 150.4
Definition... 150.1
Duration of proclamation... 150.5
Initiation of evaluation... 150.2
Mailing address... 150.6
Submission of requests... 150.3

Appeals from initial determinations or untimely delays... 102.10
Business information... 102.9
Correspondence address... 102.1, 102.4
Expedited processing ... 102.6
Fees... 102.11
Public reference facilities... 102.2
Records... 102.3
Responses to requests... 102.7

Responsibility for responding... 102.5
Time limits... 102.6

Requirements for making requests... 102.4

Gazette. (See Official Gazette.)
General authorization to charge deposit account... 1.25, 1.136
General information and correspondence... 1.1-1.8
Government acquisition of foreign patent rights... Part 501
Government employee invention... Part 501
Government interest in patent, recording of... 3.11, 3.31, 3.41, 3.58
Governmental registers... 3.58
Guardian of insane person may apply for patent... 1.43

Hearings:

Before the Board of Patents Appeals and Interferences... 41.47
Fee for appeal hearing... 41.20

Identification of application, patent or registration... 1.5
Inconsistencies between application data sheet and oath or declaration... 1.76(d)
Incorporation by reference... 1.57
Information disclosure statement:

At time of filing application... 1.51
Content of... 1.98
Not permitted in provisional applications... 1.51
Reexamination... 1.555, 1.902
Suspension of action to provide time for consideration of an IDS in a CPA... 1.103(b)
Third party submission of... 1.99
To comply with duty of disclosure... 1.97

Abandonment of the contest... 41.127
Access to applications... 1.11(e)
Addition of patent or application.... 41.203
Amendment during... 41.121
Appeal to the Court of Appeals for the Federal Circuit.... 1.301, 1.302
Applicant requests... 41.202
Arbitration... 41.126
Burden of proof... 41.207
Civil action... 1.303
Common interests in the invention... 41.206
Concession of priority... 41.127
Copying claims from patent... 41.121, 41.202
Declaration of interference... 41.203
Definitions... 41.201
Disclaimer to avoid interference... 41.127
Discovery... 41.150
Extension of time... 41.4
In what cases declared... 41.203
Junior party fails to overcome filing date of senior party... 41.204
Jurisdiction over involved files... 41.103
Manner of service of papers... 41.106
Motions... 41.121
Notice to file civil action... 1.303
Notice of declaration... 41.203
Petitions... 41.3
Presumption as to order of invention... 41.207
Priority Statement... 41.204
Prosecution by owner of entire interest... 41.9
Records of, when open to public... 1.11(e)
Requests by applicants... 41.202
Review of decision by civil action... 1.303
Same party... 41.206
Sanctions... 41.128
Secrecy order cases... 5.3(b)
Service of papers... 41.106
Statutory disclaimer by patentee during... 41.127
Suggestion of claims for interference... 41.202
Suspension of other proceedings... 41.103
Time period for completion... 41.200
Translation of document in foreign language... 41.154

Complaints regarding... 4.1-4.6

Publication of... 4.1, 4.3, 4.5
Reply to... 4.4
Submission of... 4.3
Withdrawal of... 4.3

Definition... 4.2
Reply to complaint... 4.4
Inventor (See also Applicant for patent, Application for patent):

Death or insanity of inventor... 1.42, 1.43

In an international application... 1.422, 1.423

Refuses to sign application... 1.47
To make application... 1.41, 1.45
Unavailable... 1.47

Joinder of inventions in one application... 1.141
Joint inventors... 1.45, 1.47, 1.324
Joint patent to inventor and assignee... 1.46, 3.81
Jurisdiction:

After decision by Board of Patent Appeals and Interferences... 1.197, 1.198
After notice of allowance... 1.312
Over involved files... 41.103

Lapsed patents... 1.317
Legal representative of deceased or incapacitated inventor... 1.42-1.43, 1.64
Legibility of papers... 1.52
Letters to the Office. (See Correspondence.)
Library service fee... 1.19(c)
License and assignment of government interest in patent... 3.11, 3.31, 3.41
License for foreign filing... 5.11-5.15
List of U.S. patents classified in a subclass, cost of... 1.19(d)
Local delivery box rental... 1.21(d)
Lost files... 1.251

Mail Stops

Mail Stop 4... 150.6
Mail Stop 8... 1.1(a)(3)
Mail Stop 24... 4.3(c)
Mail Stop Assignment Recordation Services... 1.1(a)(4), 3.27
Mail Stop Document Services... 1.1(a)(4)
Mail Stop Ex parte Reexam... 1.1(c)(1)
Mail Stop Inter partes Reexam... 1.1(c)(2)
Mail Stop Interference... 41.10(b)
Mail Stop L&R... 5.1
Mail Stop M Correspondence... 1.1(d)(2)
Mail Stop OED... 4.6
Mail Stop Patent Ext... 1.1(e)
Mail Stop PCT... 1.1(b), 1.417, 1.434(a), 1.480(b)

Acceptance of delayed payment of... 1.378
Address for payments... 1.1(d)(1)
Address for correspondence (at PTO)... 1.1(d)(2)
Address for correspondence (applicant's)... 1.363
Review of decision refusing to accept... 1.377
Submission of... 1.366
Time for payment of... 1.362

Copies of... 1.95
Disposal without notice unless return arrangements made... 1.94
If on examination model found necessary request therefor will be made... 1.91
In contested cases... 41.154
May be required... 1.91
Model not generally admitted in application or patent... 1.91
Not to be taken from the Office except in custody of sworn employee... 1.95
Return of... 1.94
Working model may be required... 1.91

To take testimony in foreign country... 41.156(b)

Name of Applicant or Inventor (see Applicant for patent, Application for patent, Inventor)
New matter inadmissible in application... 1.121
New matter inadmissible in reissue... 1.173
Non-English language specification fee... 1.17(i)
Nonprofit organization:

Definition... 1.27
Small entity status... 1.27

Of allowance of application... 1.311
Of appeal to the Court of Appeals for the Federal Circuit... 1.301, 1.302
Of arbitration award... 1.335
Of defective ex parte reexamination request... 1.510(c)
Of declaration of interference... 41.203
Of oral hearings before the Board of Patent Appeals and Interferences... 41.47
Of rejection of an application... 1.104
Of taking testimony... 41.157(c)

Amendments to... 1.825
Disclosure in patent applications... 1.821
Form and format for computer readable form... 1.824
Format for sequence data... 1.822
Replacement of... 1.825
Requirements... 1.823
Submission on compact disc... 1.52, 1.821, 1.823
Symbols... 1.822

Oath in patent application. (See also Declaration):

Apostles... 1.66
Before whom taken in foreign countries... 1.66
Before whom taken in United States... 1.66
By administrator or executor... 1.42, 1.63, 1.64
By guardian of insane person... 1.43, 1.63, 1.64
Certificate of Officer administering... 1.66
Continuation-in-part... 1.63(e)
Declaration... 1.68
Foreign language... 1.69
International application... 1.497
Inventor's Certificate... 1.63
Made by inventor... 1.41, 1.63
Made by someone other than inventor... 1.64(b)
Officers authorized to administer oaths... 1.66
Part of complete application... 1.51
Person making... 1.64
Plant patent application... 1.162
Requirements of... 1.63
Ribboned to other papers... 1.66
Sealed... 1.66
Signature to... 1.63, 1.64, 1.67
Supplemental... 1.67
To acknowledge duty of disclosure... 1.63
When taken abroad to seal all papers... 1.66

Plant patent application... 1.162
When international application enters national stage... 1.497

Amendments to rules published in... 1.351
Announces request for reexamination... 1.11(c), 1.904
Notice of filing application to nonsigning inventor... 1.47
Notice of issuance of ex parte reexamination certificate... 1.570(f)
Notice of issuance of inter partes reexamination certificate... 1.997

Payment of fees, Method... 1.23
Paper, definition of... 1.9
Papers (requirements to become part of Office permanent records)... 1.52
Papers not received on Saturday, Sunday, or holidays... 1.6
Patent application. (See Application for patent and Provisional patent applications.)
Patent application publication. (See Published application.)
Patent attorneys and agents. (See Attorneys and agents.)
Patent Cooperation Treaty:

Access to international application files... 1.14(g)
Amendments and corrections during international processing... 1.471
Amendments during international preliminary examination... 1.485
Applicant for international application... 1.421
Changes in person, name or address, where filed... 1.421(f), 1.472
Conduct of international preliminary examination... 1.484
Copies of international application files... 1.14(g)
Definition of terms... 1.401
Delays in meeting time limits... 1.468
Demand for international preliminary examination... 1.480
Designation of States... 1.432
Entry into national stage... 1.491, 1.495
Examination at national stage... 1.496
Fees:

Authorization to charge fees under 37 CFR 1.16... 1.25(b)
Due on filing of international application.... 1.431(c)
Failure to pay results in withdrawal of application... 1.431(d), 1.432
Filing, processing and search fees... 1.445
International Filing Fee... 1.431(c), 1.445(b)
International preliminary examination... 1.481, 1.482
National stage... 1.25(b), 1.492
Refunds... 1.446

Filing by other than inventor... 1.421(b)
International application requirements... 1.431

Abstract... 1.438
Claims... 1.436
Description... 1.435
Drawings... 1.437
Physical requirements... .1.433
Request.... 1.434

International Bureau... 1.415
International Preliminary Examining Authority... 1.416
Inventor deceased... 1.422
Inventor insane or legally incapacitated... 1.423
Inventors, joint... 1.421(b), 1.497
National stage in the United States:

Commencement... 1.491
Entry... 1.491, 1.495
Examination... 1.496
Fees... 1.25(b); 1.492

Oath or declaration at national stage... 1.497
Priority, claim for... 1.55, 1.451, 1.452
Record copy to International Bureau, transmittal procedures... 1.461
Representation by attorney or agent... 1.455
Time limits for processing applications... 1.465, 1.468
United States as:

Designated or Elected Office... 1.414
International Searching Authority... 1.413
Receiving Office... 1.412

Unity of invention:

Before International Searching Authority... 1.475, 1.476
Before International Preliminary Examining Authority... 1.488
National stage... 1.475, 1.499
Protest to lack of... 1.477, 1.489

Application for... 1.705
Determination... 1.705
Grounds for... 1.702
Period of adjustment... 1.703
Reduction of period of adjustment... 1.704

Available for license or sale, publication of notice... 1.21(i)
Certified copies of... 1.13
Correction of errors in... 1.171, 1.322, 1.323, 1.324
Delivery of... 1.315
Disclaimer... 1.321
Identification required in letters concerning... 1.5
Lapsed, for nonpayment of issue fee... 1.317
Obtainable by civil action... 1.303
Price of copies... 1.19
Records of, open to public... 1.11, 1.12
Reissuing of, when defective... 1.171-1.178

Fees... 1.17
For delayed payment of issue fee... 1.137
For expungement of papers... 1.59
For extension of time... 1.136
For license for foreign filing... 5.12
For the revival of an abandoned application... 1.137
From formal objections or requirements... 1.113, 1.181
From requirement for restriction... 1.129, 1.144
General requirements... 1.181
In interferences... 41.3
In reexamination... 1.181

If examiner refused the ex parte request... 1.515(c)

On refusal of examiner to admit amendment... 1.127
Questions not specifically provided for... 1.182
Suspension of rules... 1.183

Petition to accept an unintentionally delayed claim for domestic priority... 1.78(a)(3), 1.78(a)(6)
Petition to accept an unintentionally delayed claim for foreign priority... 1.55(c)

To exercise supervisory authority... 1.181
To make special... 1.102
Untimely unless filed within two months... 1.181

Applicant... 1.162
Claim... 1.164
Declaration... 1.162
Description... 1.162
Drawings... 1.165
Examination... 1.167
Fee for copies... 1.19
Filing fee... 1.16(c)
Issue fee... 1.18(c)
Oath... 1.162
Rules applicable... 1.161
Specification and arrangement of application elements... 1.163
Specimens... 1.166

Exceptions (status, access or copies available)... 1.14

Content of... 1.98
To comply with duty of disclosure.... 1.97

Domestic benefit claim:

Cross-reference to related application(s)... 1.76-1.78
Filing fee must be paid in provisional application... 1.78
Indication of whether international application was published in English... 1.78(a)(2)
May be in first sentence of application or on application data sheet... 1.78
Petition to accept, unintentionally delayed... 1.78
Translation of non-English language provisional application required... 1.78
Waived if not timely... 1.78

Foreign priority claim:

Filed after issue fee has been paid... 1.55
May be on application data sheet or in oath/declaration... 1.63(c)
Petition to accept, unintentionally delayed... 1.55
Priority document... 1.55
Time for claiming... 1.55

Denial of access to records... 102.25
Definitions ... 102.22
Disclosure of records... 102.25, 102.30
Exemptions... 102.33, 102.34
Fees... 102.31
Grant of access to records... 102.25
Inquiries... 102.23
Medical records... 102.26
Penalties... 102.32
Requests for records... 102.24
Requests for correction or amendment... 102.27

Appeal of initial adverse determination... 102.29
Review of requests... 102.28

Claiming the benefit of... 1.78
Converting a nonprovisional to a provisional... 1.53(c)
Converting a provisional to a nonprovisional... 1.53(c)
Cover sheet required by § 1.51(c)(1) may be a § 1.76 application data sheet... 1.53(c)(1)
Filing date... 1.53(c)
Filing fee... 1.16(d)
General requisites... 1.51(c)
Later filing of fee and cover sheet... 1.53(g)
Names of inventor(s)... 1.41(a)(2)

Application data sheet... 1.53(c)(1), 1.76
Correction of... 1.48
Cover sheet... 1.51(c)(1), 1.53(c)(1)
Joint inventors... 1.45

No right of priority... 1.53(c)
No examination... 1.53(i)
Papers concerning, should identify provisional application as such, by application number... 1.5(f)
Parts of complete provisional application... 1.51(c)
Processing fees... 1.17
Revival of... 1.137
When abandoned... 1.53(i)

Submission of international publication or English translation thereof pursuant to 35 U.S.C. 154(d)(4) ... 1.417

Fee... 1.17(j)

Early publication... 1.219
Express abandonment to avoid publication... 1.138
Fee... 1.18
Nonpublication request... 1.213
Publication of redacted copy... 1.217
Republication... 1.221
Voluntary publication... 1.221

Access to... 1.11, 1.14
Certified copies of... 1.13
Contents... 1.215
Definition... 1.9
Records of, open to public... 1.11, 1.12
Republication of... 1.221
Third party submission in... 1.99

Reasons for allowance... 1.104
Reconsideration of Office action... 1.112
Reconstruction of lost files... 1.251
Recording of assignments. (See Assignments and recording.)
Records of the Patent and Trademark Office... 1.11-1.15
Reexamination:

Announcement in O.G.... 1.11(c)
Correction of inventorship... 1.530
Correspondence address... 1.33(c)
Ex parte proceedings:

Amendments, manner of making... 1.121(j), 1.530
Appeal to Board... 41.31
Appeal to C.A.F.C.... 1.301
Civil action under 35 U.S.C. 145... 1.303
Concurrent with interference, reissue, other reexamination, litigation, or office proceeding(s)... 1.565
Conduct of.... 1.550
Duty of disclosure in... 1.555
Examiner's determination to grant or refuse request for... 1.515
Extensions of time in... 1.550(c)
Initiated by the Director... 1.520
Interviews in... 1.560
Issuance and publication of certificate concludes... 1.570
Order for reexamination by examiner... 1.525
Patent owner's statement... 1.530, 1.540
Processing of prior art citations during... 1.502
Reply to patent owner's statement to third party requester... 1.535, 1.540
Request for... 1.510
Scope of... 1.552
Service of papers... 1.248

Examiner's action.... 1.104
Fee... 1.20(c)
Fees may be charged to deposit account... 1.25
Identification in letter... 1.5(d)
Inter partes proceedings... 1.902-1.997

Amendments, manner of making... 1.121(j), 1.530, 1.941
Appeal to Board... 41.61
Appeal to C.A.F.C.... 1.983
Civil action under 35 U.S.C. 145 not available... 1.303(d)
Concurrent with interference, reissue, other reexamination, litigation, or office proceeding(s)... 1.565, 1.985
Conduct of.... 1.937
Duty of disclosure in... 1.555, 1.923
Examiner's determination to grant or refuse request for... 1.923-1.927
Extensions of time in... 1.956
Filing date of request for... 1.919
Issuance of certificate at conclusion of... 1.997
Merged with concurrent reexamination proceedings... 1.989
Merged with reissue application... 1.991
Notice of, in the Official Gazette... 1.904
Persons eligible to file request for... 1.903
Processing of prior art citations during... 1.902
Scope of... 1.906
Service of papers... 1.248, 1.903
Submission of papers by the public... 1.905
Subsequent requests for... 1.907
Suspension due to concurrent interference... 1.993
Suspension due to litigation... 1.987

Information Disclosure Statements... 1.98, 1.555
Open to public... 1.11(d)
Reconsideration before final action... 1.112
Refund of fee... 1.26
Reply to action... 1.111
Revival of terminated or limited reexamination prosecution... 1.137
Reference characters in drawings... 1.74, 1.84(p)
References cited on examination... 1.104
Refund of money paid by mistake... 1.26

International applications... 1.446
Later establishment of small entity status... 1.28
Time period for requesting... 1.26

On appeal to Board... 41.52
Request for, time for appeal after action on... 1.304

Amendments... 1.173
Applicants, assignees... 1.172
Application for reissue... 1.171
Application made and sworn to by inventor, if living... 1.172
Continuing duty of applicant... 1.178
Declaration... 1.175
Drawings... 1.173
Examination of reissue... 1.176
Filed during ex parte reexamination... 1.565
Filed during inter partes reexamination... 1.985
Filing fee... 1.16
Filing of announcement in Official Gazette... 1.11
Grounds for and requirements... 1.171-1.178
Issue fee... 1.18(a)
Multiple applications for reissue of a single patent... 1.177
Oath... 1.175
Open to public... 1.11
Original patent surrendered... 1.178
Restriction... 1.176
Specification... 1.173
Take precedence in order of examination... 1.176
To contain no new matter... 1.173
What must accompany application... 1.171, 1.172

After two rejections appeal may be taken from examiner to Board... 41.31
Applicant will be notified of rejection with reasons and references... 1.104
Based on commonly owned prior art, how overcome... 1.130
Examiner may rely on admissions by applicant or patent owner, or facts within examiner's knowledge... 1.104
Final... 1.113
Formal objections... 1.104
On account of invention shown by others but not claimed, how overcome... 1.131
References will be cited.... 1.104
Requisites of notice of... 1.104

Abandonment for failure to... 1.135
By applicant or patent owner... 1.111
Substantially complete... 1.135
Supplemental... 1.111
Time for... 1.134

Fee... 1.17
Suspension of action after... 1.103

Claims to nonelected invention withdrawn... 1.142
Constructive election... 1.145
Petition from requirements for... 1.129, 1.144
Provisional election... 1.143
Reconsideration of requirement... 1.143
Requirement for... 1.142
Subsequent presentation of claims for different invention... 1.145

Unavoidable abandonment fee... 1.17(l)
Unintentional abandonment fee... 1.17(m)

Amendments to rules will be published... 1.351

Saturday, when last day falls on... 1.7
Secrecy order... 5.1-5.5
Sequences:

Amendments to sequence listing and computer readable copy... 1.825
Disclosure requirements... 1.821, 1.823
Sequence data, symbols and format... 1.822
Submissions in computer readable form... 1.824
Submissions on compact disc in lieu of paper... 1.52, 1.821, 1.823

In interference cases... 41.106
Of appeal to the U.S. Court of Appeals for the Federal Circuit... 1.301

EFS character coded... 1.4(d)(3)
Handwritten... 1.4(d)(1)
Implicit certifications... 1.4(d), 10.18
S-signature... 1.4(d)(2)
To a written assertion of small entity status... 1.27(c)(2)
To amendments and other papers... 1.33(b)
To an application for extension of patent term... 1.730
To express abandonment... 1.138
To oath... 1.63
To reissue oath or declaration... 1.172
When copy is acceptable... 1.4

Definition... 1.27
Small entity status... 1.27

Definition... 1.27
Errors in status excused... 1.28
Fraud on the office... 1.27
License to Federal agency... 1.27
Statement... 1.27
Statement in parent application... 1.27
Status establishment... 1.27, 1.28
Status update... 1.27, 1.28

Abstract... 1.72
Amendments to... 1.121, 1.125
Arrangement of... 1.77, 1.154, 1.163
Best mode... 1.71
Claim... 1.75
Commence on separate sheet... 1.71(f)
Contents of... 1.71-1.75
Copyright notice... 1.71(d)
Cross-references to other applications... 1.78
Description of the invention... 1.71
If defective, reissue to correct... 1.171-1.178
Mask work notice... 1.71(d)
Must conclude with specific and distinct claim... 1.75
Must point out new improvements specifically... 1.71
Must refer by figures to drawings... 1.74
Must set forth the precise invention... 1.71
Object of the invention... 1.73
Order of arrangement in framing... 1.77
Paper, writing, margins... 1.52
Paragraph numbering... 1.52
Part of complete application... 1.51
Reference to drawings... 1.74
Requirements of... 1.71-1.75
Reservation clauses not permitted... 1.79
Separate from other parts of application... 1.71(f)
Substitute... 1.125
Summary of the invention... 1.73
Title of the invention... 1.72
To be rewritten, if necessary... 1.125

Examination.... 1.294
Publication of... 1.297
Review of decision finally refusing to publish... 1.295
Withdrawal of request for publication of... 1.296

Tables in patent applications... 1.58
Terminal disclaimer... 1.321
Testimony by Office employees... 15 CFR Part 15a
Testimony in contested cases before the Board... 41.156-41.158

Compelling testimony and production... 41.156
Expert testimony... 41.158
Taking testimony... 41.157

Unavoidable abandonment... 1.137
Unintentional abandonment... 1.137
United States as

Designated Office... 1.414
Elected Office... 1.414
International Preliminary Examining Authority... 1.416
International Searching Authority... 1.413
Receiving Office... 1.412

Waiver of confidentiality... 1.53(d)(6)
Withdrawal from issue... 1.313
Withdrawal of attorney or agent... 1.36(b)
Withdrawal of request for statutory invention registration... 1.296...

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