SUBCHAPTER A—GENERAL PATENTS 1.28 Refunds when small entity status is later established; how errors in small en- tity status are excused. PART 1—RULES OF PRACTICE IN 1.29 Micro entity status. PATENT CASES Subpart B—National Processing Provisions Subpart A—General Provisions PROSECUTION OF APPLICATION AND APPOINTMENT OF ATTORNEY OR AGENT GENERAL INFORMATION AND CORRESPONDENCE 1.31 Applicant may be represented by one or Sec. more patent practitioners or joint inven- 1.1 Addresses for non-trademark cor- tors. respondence with the United States Pat- 1.32 Power of attorney. ent and Trademark Office. 1.33 Correspondence respecting patent ap- 1.2 Business to be transacted in writing. plications, reexamination proceedings, 1.3 Business to be conducted with decorum and other proceedings. and courtesy. 1.34 Acting in a representative capacity. 1.4 Nature of correspondence and signature 1.36 Revocation of power of attorney; with- requirements. drawal of patent attorney or agent. 1.5 Identification of patent, patent applica- tion, or patent-related proceeding. WHO MAY APPLY FOR A PATENT 1.6 Receipt of correspondence. 1.41 Inventorship. 1.7 Times for taking action; Expiration on 1.42 Applicant for patent. Saturday, Sunday or Federal holiday. 1.43 Application for patent by a legal rep- 1.8 Certificate of mailing or transmission. resentative of a deceased or legally inca- 1.9 Definitions. pacitated inventor. 1.10 Filing of correspondence by Priority 1.44 [Reserved] Mail Express®. 1.45 Application for patent by joint inven- tors. RECORDS AND FILES OF THE PATENT AND 1.46 Application for patent by an assignee, TRADEMARK OFFICE obligated assignee, or a person who oth- 1.11 Files open to the public. erwise shows sufficient proprietary inter- 1.12 Assignment records open to public in- est in the matter. spection. 1.47 [Reserved] 1.48 Correction of inventorship pursuant to 1.13 Copies and certified copies. 35 U.S.C. 116 or correction of the name or 1.14 Patent applications preserved in con- order of names in a patent application, fidence. other than a reissue application. 1.15 Requests for identifiable records. THE APPLICATION FEES AND PAYMENT OF MONEY 1.51 General requisites of an application. 1.16 National application filing, search, and 1.52 Language, paper, writing, margins, examination fees. compact disc specifications. 1.17 Patent application and reexamination 1.53 Application number, filing date, and processing fees. completion of application. 1.18 Patent post allowance (including issue) 1.54 Parts of application to be filed to- fees. gether; filing receipt. 1.19 Document supply fees. 1.55 Claim for foreign priority. 1.20 Post issuance fees. 1.56 Duty to disclose information material 1.21 Miscellaneous fees and charges. to patentability. 1.22 Fees payable in advance. 1.57 Incorporation by reference. 1.23 Methods of payment. 1.58 Chemical and mathematical formulae 1.24 [Reserved] and tables. 1.25 Deposit accounts. 1.59 Expungement of information or copy of 1.26 Refunds. papers in application file. 1.27 Definition of small entities and estab- 1.60–162 [Reserved] lishing status as a small entity to permit OATH OR DECLARATION payment of small entity fees; when a de- termination of entitlement to small enti- 1.63 Inventor’s oath or declaration. ty status and notification of loss of enti- 1.64 Substitute statement in lieu of an oath tlement to small entity status are re- or declaration. quired; fraud on the Office. 1.66 Statements under oath. 5 VerDate Sep<11>2014 10:30 Mar 18, 2021 Jkt 250147 PO 00000 Frm 00015 Fmt 8010 Sfmt 8010 Y:\SGML\250147.XXX 250147 Pt. 1 37 CFR Ch. I (7–1–20 Edition) 1.67 Supplemental oath or declaration. 1.114 Request for continued examination. 1.68 Declaration in lieu of oath. 1.69 Foreign language oaths and declara- AMENDMENTS tions. 1.115 Preliminary amendments. 1.70 [Reserved] 1.116 Amendments and affidavits or other evidence after final action and prior to SPECIFICATION appeal. 1.71 Detailed description and specification 1.117–1.119 [Reserved] of the invention. 1.121 Manner of making amendments in ap- 1.72 Title and abstract. plications. 1.73 Summary of the invention. 1.122–1.124 [Reserved] 1.74 Reference to drawings. 1.125 Substitute specification. 1.75 Claim(s). 1.126 Numbering of claims. 1.76 Application data sheet. 1.127 [Reserved] 1.77 Arrangement of application elements. 1.78 Claiming benefit of earlier filing date TRANSITIONAL PROVISIONS and cross-references to other applica- tions. 1.129 Transitional procedures for limited ex- 1.79 [Reserved] amination after final rejection and re- striction practice. THE DRAWINGS AFFIDAVITS OVERCOMING REJECTIONS 1.81 Drawings required in patent applica- tion. 1.130 Affidavit or declaration of attribution 1.83 Content of drawing. or prior public disclosure under the 1.84 Standards for drawings. Leahy-Smith America Invents Act. 1.85 Corrections to drawings. 1.131 Affidavit or declaration of prior inven- 1.88 [Reserved] tion or to disqualify commonly owned patent or published application as prior MODELS, EXHIBITS, SPECIMENS art. 1.132 Affidavits or declarations traversing 1.91 Models or exhibits not generally admit- rejections or objections. ted as part of application or patent. 1.92 [Reserved] INTERVIEWS 1.93 Specimens. 1.94 Return of models, exhibits or speci- 1.133 Interviews. mens. TIME FOR REPLY BY APPLICANT; 1.95 Copies of exhibits. ABANDONMENT OF APPLICATION 1.96 Submission of computer program list- ings. 1.134 Time period for reply to an Office ac- tion. INFORMATION DISCLOSURE STATEMENT 1.135 Abandonment for failure to reply 1.97 Filing information disclosure state- within time period. ment. 1.136 Extensions of time. 1.98 Content of information disclosure 1.137 Revival of abandoned application, or statement. terminated or limited reexamination 1.99 [Reserved] prosecution. 1.138 Express abandonment. EXAMINATION OF APPLICATIONS 1.139 [Reserved] 1.101 [Reserved] JOINDER OF INVENTIONS IN ONE APPLICATION; 1.102 Advancement of examination. RESTRICTION 1.103 Suspension of action by the Office. 1.104 Nature of examination. 1.141 Different inventions in one national 1.105 Requirements for information. application. 1.106–1.109 [Reserved] 1.142 Requirement for restriction. 1.109 Effective filing date of a claimed in- 1.143 Reconsideration of requirement. vention under the Leahy-Smith America 1.144 Petition from requirement for restric- Invents Act. tion. 1.110 Inventorship and ownership of the sub- 1.145 Subsequent presentation of claims for ject matter of individual claims. different invention. 1.146 Election of species. ACTION BY APPLICANT AND FURTHER CONSIDERATION DESIGN PATENTS 1.111 Reply by applicant or patent owner to 1.151 Rules applicable. a non-final Office action. 1.152 Design drawings. 1.112 Reconsideration before final action. 1.153 Title, description and claim, oath or 1.113 Final rejection or action. declaration. 6 VerDate Sep<11>2014 10:30 Mar 18, 2021 Jkt 250147 PO 00000 Frm 00016 Fmt 8010 Sfmt 8010 Y:\SGML\250147.XXX 250147 U.S. Patent and Trademark Office, Commerce Pt. 1 1.154 Arrangement of application elements 1.291 Protests by the public against pending in a design application. applications. 1.155 Expedited examination of design appli- 1.292 [Reserved] cations. 1.293–1.297 [Reserved] PLANT PATENTS REVIEW OF PATENT AND TRADEMARK OFFICE DECISIONS BY COURT 1.161 Rules applicable. 1.162 Applicant, oath or declaration. 1.301–1.304 [Reserved] 1.163 Specification and arrangement of ap- plication elements in a plant application. ALLOWANCE AND ISSUE OF PATENT 1.164 Claim. 1.311 Notice of allowance. 1.165 Plant drawings. 1.312 Amendments after allowance. 1.166 Specimens. 1.313 Withdrawal from issue. 1.167 Examination. 1.314 Issuance of patent. 1.315 Delivery of patent. REISSUES 1.316 Application abandoned for failure to 1.171 Application for reissue. pay issue fee. 1.172 Reissue applicant. 1.317–1.318 [Reserved] 1.173 Reissue specification, drawings, and amendments. DISCLAIMER 1.174 [Reserved] 1.321 Statutory disclaimers, including ter- 1.175 Inventor’s oath or declaration for a re- minal disclaimers. issue application. 1.176 Examination of reissue. CORRECTION OF ERRORS IN PATENT 1.177 Issuance of multiple reissue patents. 1.322 Certificate of correction of Office mis- 1.178 Original patent; continuing duty of ap- take. plicant. 1.323 Certificate of correction of applicant’s 1.179 [Reserved] mistake. PETITIONS AND ACTION BY THE DIRECTOR 1.324 Correction of inventorship in patent, pursuant to 35 U.S.C. 256. 1.181 Petition to the Director. 1.325 Other mistakes not corrected. 1.182 Questions not specifically provided for. ARBITRATION AWARDS 1.183 Suspension of rules. 1.331–1.334 [Reserved] 1.184 [Reserved] 1.335 Filing of notice of arbitration awards. APPEAL TO THE PATENT TRIAL AND APPEAL 1.351–352 [Reserved] BOARD MAINTENANCE FEES 1.191 Appeal to Patent Trial and Appeal 1.362 Time for payment of maintenance Board. fees. 1.192–1.196 [Reserved] 1.363 Fee address for maintenance fee pur- 1.197 Termination of proceedings. poses. 1.198 Reopening after a final decision of the 1.366 Submission of maintenance fees. Patent Trial and Appeal Board. 1.377 Review of decision refusing to accept PUBLICATION OF APPLICATIONS. and record payment of a maintenance fee filed prior to expiration of patent. 1.211 Publication of applications. 1.378 Acceptance of delayed payment of 1.213 Nonpublication request. maintenance fee in expired patent to re- 1.215 Patent application publication. instate patent. 1.217 Publication of a redacted copy of an application. Subpart C—International Processing 1.219 Early publication. Provisions 1.221 Voluntary publication or republica- tion of patent application publication.